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Full text of "University of Massachusetts Board of Trustees records, 1836-2010"

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UNIVERSITY OF MASSACHUSETTS 
COMMITTEE/BOARD MINUTES 1994 

ACADEMIC AND STUDENT AFFAIRS 

1 . January 3 1 , 1 995 UMASS Boston 

2. April 4, 1995 UMASS Dartmouth 

3. June 6, 1995 1 Ashburton PI., Boston, MA 

4. August 8, 1995 UMASS Lowell 

5. October 5, 1995 18 Tremont St., Boston, MA 

6. December 5, 1995 UMASS Worcester 

ADMINISTRATION & FINANCE 

1 . January 3 1 , 1 995 UMASS Boston 

2. March 7, 1 995 1 8 Tremont St., Boston, MA 

3. April 4, 1995 UMASS Dartmouth 

4. June 6, 1995 President's Office, Boston, MA 

5. August 8, 1995 UMASS Lowell 

6. October 5, 1995 18 Tremont St., Boston, MA 

7. December 5, 1995 UMASS Worcester 

AUDIT COMMITTEE 

1 . January 4, 1 994 1 8 Tremont St., Boston, MA 

2. March 8, 1 8 Tremont St., Boston, MA 

3. July 18, 1995 President's Office, Boston, MA 

4. November 8, 1995 18 Tremont St., Boston, MA 

ATHLETICS COMMITTEE 

1 . January 1 7, 1 995 1 8 Tremont St., Boston, MA 

2. August 7, 1995 UMASS Lowell 

3. November 7, 1995 18 Tremont St., Boston, MA 

EXTERNAL AFFAIRS 

1 . January 3 1 , 1 995 UMASS Boston 

2. November 27, 1 995 1 8 Tremont St., Boston, MA 

3. December 18, 1995 18 Tremont St., Boston, MA 

BOARD OF TRUSTEES 

1 . February 1 , 1 995 UMASS Boston 

2. April 5, 1995 UMASS Dartmouth 

3. May 15, 1995 1 International Place, Boston, MA 

4. May 19, 1995 Boston Marriott Hotel 

5. June 7, 1995 18 Tremont St., Boston, MA 

6. August 9, 1995 UMASS Lowell 

7. October 1 1, 1995 UMASS Amherst 

8. November 28, 1995 UMASS Worcester 

9. December 6, 1995 UMASS Worcester 

PERSONNEL & DIVERSITY SUBCOMMITTEE 

1 . March 1 , 1 995 1 8 Tremont St., Boston, MA 

2. November 9. 1995 18 Tremont St., Boston, MA 



)u investment subcommittee 

1 . March 7, 1 995 18 Tremont St., Boston, MA 

2. July 1 8, 1 995 President's Office, Boston, MA 

COMMITTEE OF THE WHOLE 

1 . October 1 0, 1 995 UMASS Amherst 

2. December 5, 1995 UMASS Worcester 

NOMINATING COMMITTEE 

1 . October 1 0, 1 995 UMASS Amherst 



Digitized by the Internet Archive 

in 2012 with funding from 

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http://archive.org/details/universityofmass1995univ 



UNIVERSITY OF MASSACHUSETTS 

COMMITTEE/BOARD MEETINGS 

1995 MINUTES 



• COMMITTEE ON ACADEMIC & STUDENT AFFAIRS 

• COMMITTEE ON ADMINISTRATION & FINANCE 

• AUDIT COMMITTEE 

• ATHLETIC COMMITTEE 

• COMMITTEE ON EXTERNAL AFFAIRS 

• BOARD OF TRUSTEES 

• PERSONNEL & DIVERSITY SUBCOMMITTEE 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Tuesday, January 31, 1995 3:00 p.m. 

Room 308 

Quinn Administration Building 

University of Massachusetts Harbor Campus 

Boston, Massachusetts 

Committee and Committee Staff : Acting Chair Poduska; Trustees Kraft, Naughton and Morrissey; Chair 
Taylor 

Committee Members Absent : Trustees Lewenberg and McNeil 

University Administration : President Hooker; Vice President Sessoms; Provosts Crosson, Esposito, Bratt, 
and Taggie; Associate Vice Chancellor Wagner; Assistant Vice President Layton; Ms. Nethersole, Director 
of Student Affairs; Mr. Haskell, Associate Counsel ; Mr. O'Riordan, Institutional Research Associate 

Faculty Representatives : Professor Knight, UMASS Boston; Professor Carroll, UMASS Dartmouth; 
Professor Phalen, UMASS Lowell 

Chair Poduska convened the meeting at 3:12 p.m. in the absence of Trustee McNeil and introduced 
the first item, Residency Status for Tuition Classification Purposes. Ms. Nethersole explained to the 
Committee that the legislation that reorganized the University in 1992 also gave the authority to establish 
a residency policy for tuition classification purposes to the HECC (Higher Education Coordinating 
Council). In the past, the University had had three separate policies. Now that the five-Campus 
university is encouraging students to move among the campuses, there is a need to have a single policy 
for the University. The policy requires that students reside in the Commonwealth for a full year prior to 
admission into the University. 

It was moved, seconded and 

VOTED : To recommend that the Board approve the Residency Status for Tuition Classification 
Purposes as contained in Doc. T95-019. Further, to rescind Doc. T80-002B, and all other 
policies (or any part thereof) currently in effect in the University which are consistent 
herewith. 

The next action item, Award of Tenure, was delayed until the arrival of Provost Bratt. 

The Committee then turned to Provost Esposito for a report on Academic Restructuring, UMASS 
Boston . Some of the highlights included: 

•The campus has made both substantial budget reductions and substantial reallocation of its resources 
to meet the demands of the fiscal crisis and the strategic directions set by the System and by the 
campus' 1987 long range plan; 

•the campus has reallocated 16.6% or $12.5 million of its resources to system strategic priorities to 
meet the goals of its own 1987 long range plan; 

•25.5% of the Boston campus budget has been impacted and transformed since 1988. 



Restructuring has included two layoffs, the closing of the downtown building and the elimination of 
6 programs and consolidation of 29 others. 

It was also pointed out that the campus intends to reallocate 3-4% or $3 million of its current 
resources to the goals outlined in the strategic plan over the next five years. 

There was then discussion on future plans that include: 

•rather than cut programs, the campus is considering the elimination of some of the majors; 

•hold instructional faculty very close to the current number while increasing enrollment modestly 
from 12,142 to 13,000 over the next three to five years; 

• increase instructional and research productivity through the resource allocation mechanism of the 
strategic plan; 

•reallocate resources to facilities improvement and Technology enhancement. 

There was then a discussion about the impact program and staff reductions have on a campus. 

Provost Crosson then talked briefly about the Amherst plan to restructure which includes program 
terminations, unit reductions and downsizing faculty members. 

The next item was a Report on Access, Affordability and Enrollment. The Committee members had 
received a 1994 Student Profile Report which contained information on admissions, enrollments and 
degrees conferred from Fall, 1989 to Fall, 1994. Assistant Vice President Layton then gave a presentation 
on admissions, enrollment, and financial trends during the past five years. 

The next item was a Report on the Research Enterprise . Vice President Sessoms gave a presentation 
to the Committee showing how research enterprise plays a major role in the intellectual life of the 
students and faculty on the campus and is a source of much of the economic development that goes on at 
UMASS. It was pointed out that research dollars play an increasingly important role in the education of 
students and in attracting quality faculty. Research dollars also provide for lab space and building 
renovations. 

Provost Bratt then discussed the Award of Tenure, UMASS Worcester . This recommendation 
received full support from all levels at the campus. There was then a discussion about the tenure process 
and what happens when there are split votes on a tenure candidate. While this doesn't happen very 
often, when it does, the Committee reviews the case very carefully. 

It was moved, seconded and 

VOTED : To recommend that the Board concur with the President in the award of tenure to the 
following individual in the following Department: 

Worcester 

Silvia Corvera, Cell Biology 

The next item was Revisions to Academic Personn el Policy. UMASS Worcester. This item was 
being voted by the Committee on Administration and Finance and came to this Committee as an 
informational item. Provost Bratt explained the procedures leading up to the proposed revisions which 
have been in the making for three years. 



The next item was an Update on Electronic Admissions . Ms. Nethersole reported that the 
^ , Admissions Group is still in the process of evaluating a variety of electronic application systems 

including XAP, ExPand and CollegeLink for conversion of the application process to an all electronic 
system. In the meantime the University is accepting applications from CollegeLink, a nationwide 
electronic application company. The cost for this program is $39.95 which permits application to eight 
institutions via the electronic system. 

There being no further business to come before the Committee, the meeting adjourned at 5:00 p.m. 

Barbara DeVico 
Staff Assistant 



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UNIVERSITY OF MASSACHUSETTS 

) AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Tuesday, April 4, 1995 3:00 p.m. 

Room 308 

Administration Building 

University of Massachusetts Dartmouth 

North Dartmouth, Massachusetts 

Committee and Committee Staff : Chair McNeil; Trustees Kraft, Lewenberg, Naughton, Morrissey, 
Poduska and Sweeney 

University Administration : President Hooker; Vice President Sessoms; Provosts Crosson, Esposito, 
Taggie, Tripathy and Bratt; Assistant Vice President Layton; Ms. Nethersole, Director of Student Affairs; 
Mr. Haskell, Associate Counsel; Vice Chancellor Robinson 

Faculty Representatives : Professor Phalen, UMASS Lowell 

Chair McNeil convened the meeting at 3:05 p.m. and introduced Trustee Peter Lewenberg to his first 
meeting of this Committee. She then thanked Trustee Poduska for serving as Chair at the last meeting 
and expressed her appreciation to all of the support offered her during the last few difficult months. 

The first item on the agenda was the President's Action Plan . Chair McNeil informed the Committee 
^ that four categories of the Plan had been assigned to the Committee by Chair Taylor. The charge was to 

wj monitor and oversee the progress of each component: 

• Resource Reallocation /Academic Program Review (Trustee Kraft) 
•Quality Improvement Targets (Trustee Naughton) 
•Commonwealth Scholars 
•Information Technology (Trustee Poduska) 

The first item discussed was Resource Reallocation Plan/ Academic Program Review . The program 
reviews are underway at each campus and timelines have been confirmed for completion. Chair McNeil 
congratulated the campuses for their efforts in a not always pleasant process. Chair McNeil then asked 
Vice President Sessoms to provide further information. 

Vice President Sessoms discussed the Plan's call for the campuses to reallocate 15 percent of their 
general operating budgets over the next five years. This process will involve a review of academic 
programs according to the criteria of quality, cost, centrality, and demand. Final recommendations will 
be prepared for the Board for consideration at the December, 1995 meeting. He thanked the Provosts for 
their leadership in this difficult task. 

The Committee then discussed Quality Improvement Targets. A report of one, three and five year 
targets for SAT scores, retention rates, graduation rates and sponsored research for each campus was 
distributed to the Committee. Chair McNeil commented that the targets reflect the agreement that 
quality is as important as access. Ms. Layton asked the Provosts to discuss their campus' individual 
targets and their expectations for reaching them. 



There was then a discussion of the Commonwealth Scholars Program which is an effort by the 
University to improve student quality. Chair McNeil urged that while the University works to attain this 
goal, it should not sacrifice a commitment to diversity. 

The criteria for this scholarship are combined SAT scores of 1350 or above, high school grade point 
average of 3.8 or above, and Massachusetts residency. It was pointed out that the program was 
established well into the admissions and recruiting season for the Fall of 1995, so the campuses have been 
able to offer a very limited number of scholarships this year. The Amherst campus offered 22 awards of 
which two had accepted to date. Seven awards were offered at Dartmouth, no acceptors yet and 2 at 
Lowell. Vice Chancellor Robinson reported that of the 22 students offered scholarships at Amherst, 11 
were women, and 6 were ALANA students. In the coming year, the University will make a greater effort 
to advertise the Program and raise private funds to endow the program for future scholarships. 

The next item was an Information Technology Update . Martin Smith of University Information 
Systems made a presentation on the University's system-wide efforts. The first step taken was the 
formation of an Information Technology Council which includes members from within the University 
community representing each campus, the President's Office and Trustee Poduska. 

Another step in the process includes the creation of a partnership with the State to pass the 
Information Technology Bond Bill for funding of $25 million in University- wide projects. A critical 
component of the technology projects will be support for additional education and training at all levels 
using new technologies. The University is also developing business and corporate allies on many 
information technology fronts. 

Mr. Smith stressed the importance of involving the faculty up front, and to do that, the University 
will sponsor faculty grants in instructional technology to promote the use of multi-media and other 
educational technology. 

The first action item was Approval of the Code of Student Conduct, UMASS Dartmouth . Ms. 
Nethersole reported that this document is an updated version of the Code approved last year and has 
been approved by all levels of the University system. It was moved, seconded and 

VOTED : To recommend that the Board approve the Code of Student Conduct for the Dartmouth 
campus as contained in Doc. T94-059. 

The next item was Awards of Tenure, UMASS Amherst, UMASS Boston and UMASS Worcester . 
There was discussion about the tenure process. Chair McNeil commended the present tenure review 
process as more thoughtful, which is critical to the future of the University. Provosts Crosson, Esposito 
and Bratt then presented individual tenure cases from their campuses. 

The Committee requested that future cases provide the undergraduate teaching history of each 
candidate and that the campuses should stress to faculty members the importance of teaching on the 
undergraduate level. There was also discussion concerning the number of tenured faculty positions in 
each department and how high tenure rates can affect the future of the University. It was moved, 
seconded and 

VOTED : To recommend that the Board concur with the President in the award of tenure to the 
following individuals in the following Department: 



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Amherst 

Shahid AH Agha, English 

Dean Cardasis, Landscape Architecture and Regional Planning 

Don J. DeGroot, Civil and Environmental Engineering 

Todd K. Fuller, Forestry and Wildlife Management 

Gary S. Karpinski, Music and Dance 

Ellen J. Pader, Landscape Architecture and Regional Planning 

Charles C. Weems, Computer Science 

Boston 

Noushin Ashrafi, College of Management 

Robert Stevenson, Biology 

Satish B. Thosar, Accounting and Finance 

Worcester 

Charles Vacanti, Anesthesiology 

The next item was Approval of the Constitution of the Faculty Council, UMASS Boston . Chair 
McNeil reported that this document will not inhibit the Chancellor in implementing the hard decisions 
that will be necessary to restructure the University and making the necessary program adjustments. It 
was moved, seconded and 

VOTED : To recommend that the Board approve the Constitution of the Faculty Council of the 
University of Massachusetts Boston as contained in Doc. T95-050, superseding Doc. T84- 
118. 

The next item was a Waiver of Sabbatical Leave Return Obligation, UMASS Amherst . This case 
involved a faculty member who was granted a sabbatical leave from January, 1994 to August, 1994. Upon 
conclusion of that leave he returned to the University, but was offered and accepted a tenured faculty 
position at Boston University. It has been requested that the Professor's remaining one semester return 
obligation be waived. After a lengthy discussion, and a request for more information to help the 
Committee better understand the implications involved, the matter was tabled. 

Vice President Sessoms then gave a Progress Report on the Engineering Task Force which included 
the restructuring and building of collaborations in engineering throughout the University system, 
including a major effort to enhance diversity in engineering throughout New England. Final Task Force 
recommendations will be forwarded to the Committee for the June meeting. 

Due to the lateness of the hour, Student Assessment at UMASS Amherst , would be held over until 
the next meeting in June. The meeting was adjourned at 5:25 p.m. 




Barbara DeVico 
Staff Assistant 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Tuesday, June 6, 1995; 2:00 p.m. 

Conference Room 3 

One Ashburton Place, 21st Floor 

Boston, Massachusetts 

Committee and Committee Staff: Trustee Poduska, Acting Chair; Trustees Kraft, Naughton, and 
Morrissey; Ms. DeVico, Staff Assistant 

Committee Members Absent : Trustees Lewenberg, McNeil and Sweeney 

Other Trustees : Trustee Bok 

University Administration : President Penney; Vice President Sessoms; Ms. Kirby, General Counsel- 
Provosts Crosson, Esposito, Taggie and Bratt; Vice Chancellor Tripathy; Assistant Vice President Layton; 
Ms. Nethersole, Director of Student Affairs; Dr. Griesemer, Donahue Institute; Mr. Haskell, Associate 
Counsel 

Faculty Representatives : Professor May, UMASS Amherst; Professor Knight, UMASS Boston; Professor 
Carroll, UMASS Dartmouth; Professor Phelen, UMASS Lowell 

In the absence of Trustee McNeil, Chair Poduska convened the meeting at 2:07 p.m. President 
Penney then gave a brief overview of progress taking place on the President's Action Plan and the other 
agenda items before the Committee. She reported that 15-16 students, half of whom are women, have 
accepted admittance as part of the Commonwealth Scholars Program. President Penney expressed her 
desire to sponsor an event in the Fall to introduce the awardees. President Penney then informed the 
Committee that she would be sending a letter to Governor Weld apprising him of some of our 
outstanding tenured awardees. 

Chair Poduska then requested that the Provosts update the Committee on the campuses' Academic 
Program Reviews . Provost Crosson spoke briefly of the plans for the Amherst campus: the Provost will 
assemble the quantitative data over the summer months; in the fall the Provost will begin the 
categorization process, using both the quantitative data and the insights that can be derived from the 
departmental self-assessments. The Provost's recommendations will be forwarded to the Chancellor who 
will undertake any additional review he feels to be appropriate and then submit his categorization to the 
President. 

Provost Esposito then spoke of the plans of the Boston campus. As part of the review process, 
academic units are being asked to prepare self-study reports. These reports are due on June 15 and will 
be reviewed by the Academic Program Review Committee. The reports from centers and institutes will 
be submitted to the Provost. Responses to the reports from the Deans to the Provost are due June 30. 

Provost Taggie then presented the time-table for the Dartmouth campus which included the 
following: self-study reports and strategic plans prepared by departments will go to Deans for review in 
October. Preliminary reviews will then be conducted by the Provosts, with appropriate consultations, in 
October-November and a preliminary report to the Trustees on November 15. A final review process will 
then occur between November and January with a final report submitted to Trustees January 15th. 



The next item was a review of Quality Improvement Targ ets. There was a general discussion about 
the appropriate level of emphasis to be placed on the SAT, noting that some students do very well 
academically but do not score well on standardized tests. High school grade point averages, rank in 
class, and other factors are considered in admissions decisions and SAT scores should be kept in context 
when studying the entire picture. 

Vice President Sessoms then updated the Committee on Information Technology . There have been 
32 proposals received from faculty throughout the system for summer grants to incorporate technology 
into teaching activities. Requested funds total $112,000 for $25,000 in available funds. A list of recipients 
was then distributed and Dr. Sessoms lauded the quality of the proposals submitted. It is hoped that 
more funds will be available in the future. 

The next item was the Commonwealth Scholars Program . It was pointed out that while this 
program had a late start approximately fifteen students accepted the awards for the year; seven from 
Amherst, three from Boston, three from Dartmouth and two from Lowell. 

Vice Chancellor Tripathy, who arrived late, then reviewed the Academic Program Review at the 
Lowell campus. It was expected that data collection and program analysis would be completed by 
August 1st, preliminary findings discussed and reviewed in the fall and a final report submitted to the 
President's Office in November, 1995. 

The first item for action was Amendments to the Code of Student Conduct, UMASS Boston . Mr. 
Applebee reported that revisions were submitted during the past year by students, staff and faculty. The 
revisions will bring the Boston campus closer to the format of the other campuses' codes while 
recognizing Boston's special characteristics as a commuter campus. The code includes procedures for 
resolving cases of student misconduct, sexual offense and other grievances. The Code had been reviewed 
and approved by legal counsel. 

It was then moved, seconded and 

VOTED: To recommend that the Board approve the Code of Student Conduct for the Boston 
campus as contained in Doc. T94-059, as amended. 

The next items on the agenda were A ppointments with Tenure, UMASS Amherst, UMASS 
Worcester and Awards of Tenure. UMASS Amherst, UMASS Boston. A lengthy discussion about the 
tenure process then ensued. Trustees expressed a desire for more background information on individual 
cases, especially for candidates without unanimous votes. A concern was also raised that some 
candidates are recommended for tenure early in their careers without enough teaching experience. 

. It was pointed out that the University should clarify what the category "service" means and 
recommended that a review of service criteria be established. Vice President Sessoms then explained the 
steps leading to the information presented to the Committee involving tenure candidates. He agreed to 
provide more information in the future on candidates whose recommendation file may include dissenting 
votes. It was also pointed out that offers of early tenure are sometimes used to recruit good candidates, 
consistent with practice at other institutions as well. 

Provost Crosson then spoke of the first appointment with tenure, Dr. Eileen O'Neill, a strong 
candidate with outstanding credentials. It was moved, seconded and 

VOTED: To recommend that the Board concur with the President in the appointment of Dr. Eileen 
O'Neill as an associate professor in the Department of Philosophy at UMASS Amherst, 
with tenure. (Doc. T95-063) 



Provost Bratt then spoke of Dr. Stevenson, an outstanding research scientist and educator. It was 
moved, seconded and 

VOTED : To recommend that the Board concur with the President in the appointment of Dr. Mario 
Stevenson as a full professor in the Department of Molecular Genetics and Microbiology 
at UMASS Worcester, with tenure. (Doc. T95-063) 

The next item on the agenda was Awards of Tenure, UMASS Amherst. UMASS Boston . Each 
candidate was then voted individually: 

It was moved, seconded and 

VOTED: To recommend that the Board concur with the President in the award of tenure to the 
following individuals in the following Departments: 

Amherst 

David Buchanan, Community Health Education; 

Nancy B. Fisk, College of Nursing; 

Henry Geddes Gonzales, Communication; 

Jane Giacobbe-Miller, Management; 

Roderic Grupen, Computer Science; 

Sally B. Hardin, College of Nursing; 

John Hird, Political Science; 

Sundar Krishnamurty, Mechanical Engineering; 

David Loomis, Forestry and Wildlife; 

Brenda E. Millette, College of Nursing; 

Randall Phillis, Biology; 

Clement A. Seldin, Teacher Education & Curriculum Studies. 

The Committee determined that additional information was needed on the remaining case. 

It was moved, seconded and 

VOTED : To table the motion for the award of tenure for Jennie Traschen until the August 
Committee meeting. 

Provost Esposito then presented the cases for the Boston campus and was asked to comment on the 
candidacy of Dr. Kiang which was described as very strong, particularly based on Dr. Kiang's efforts in 
establishing the Institute of Asian American Studies. It was moved, seconded and 

VOTED : To recommend that the Board concur with the President in the award of tenure to the 
following individuals in the following Department: 

Boston 

Mary Diane Arathuzik, College of Nursing 
Peter Kiang, Graduate College of Education 
Helen Reiskin, College of Nursing 

The next item on the agenda was Approval of the Joint Ph.D. in Nursing. (Stage II). UMASS 
Boston, UMASS Lowell. The Deans of Nursing from UMASS Boston and UMASS Lowell described how 
this program will prepare its graduates to advance in the profession through their roles as educators, 
policy analysts, clinicians and researchers. The program will address the mission statements of both 



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campuses, enhance the economic development of their respective regions, and will build on the strength 
of the existing master's programs on both campuses. 

This program will also serve as a model for the collaborative award of a Ph.D. within the UMASS 
system. It was moved and seconded. 

VOTED To recommend that the Board approve the Stage II proposal for a joint Ph.D. in Nursing 
between the Boston and Lowell campuses of the University of Massachusetts. 

The next item on the agenda was the Report of the Engineering Task Force . Associate Vice President 
Griesemer gave the Committee a brief background on the progress of the Engineering Task Force. 
Established in the summer of 1994, the Task Force examined the UMASS engineering programs from an 
internal, system-wide viewpoint with input from the Deans of Engineering and their faculties. Among 
the accomplishments and recommendations of the Engineering Task Force highlighted at the meeting 
were: 

•programmatic re-alignment and reallocation reflecting strategic new directions; 

•the establishment of two system- wide research institutes, one in Civil and Environmental 
Engineering and one in Materials Science and Engineering; 

•developing an infrastructure that will facilitate partnerships with industry for research and 
development for seeking federal, state, and corporate funding opportunities for the management of 
intellectual property and technology transfer by the Vice President for Economic Development and 
UMASS Legal Counsel; 

•establishment of a new B.S. in Electrical Engineering at UMASS Boston drawing on resources from 
all four undergraduate campuses; 

•establishment of the New England Consortium for Diversity in Engineering. 

Vice President Sessoms then introduced Ms. Lois Collins, who said a few words about the New 
England Consortium for Diversity in Engineering. The Deans of Engineering then gave brief 
presentations on the future plans for their departments based on their collaborative work. 

It was moved, seconded and 

VOTED: To recommend that the Board commend the Engineering Task Force for its progress in 
addressing and implementing the Future of Engineering Study Team's Report 
Recommendations with regard to the UMASS system and campuses. 



And, 



To ask the Task Force to continue its efforts in implementing the Recommendations of the 
Future of Engineering Study Team Report in conjunction with the Academic Advisory 
Council, and within the following parameters: 

- All new undergraduate or graduate engineering programs, not already approved by the 
Board, should be developed as collaborative, multi-campus programs. Exceptions may be 
recommended to the Committee on Academic and Student Affairs only where a campus 
can clearly demonstrate to the satisfaction of the Task Force that it can offer such a 
program without incurring additional costs, or can cover all new costs from internal 
reallocation, including program closures or reductions, and that it can meet standard 
criteria for program approval. 



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And, 



- Present and future engineering programs should be developed utilizing no more than 
the present number of state-funded faculty positions in engineering within the 
University. An exception may occur where the addition of such a position is clearly 
intended to increase faculty diversity and such position is approved by the Board. 

- Where possible, new engineering facilities, except those already initiated and in the 
construction stage, shall include full distance education capacity and shall be supported 
by substantial non-state funding. 



To support the recommendations of the Task Force with respect to FY1996 budget 
support for the UMASS Boston B.S. in Electrical Engineering and the two system-wide 
institutes as outlined in Doc T94-074, Addendum 2, if in the judgment of the President, 
resources allow. 

And, 

To direct the President to report to the Board on the further progress of the Task Force at 
the June 1996 meeting. 

The next action item on the agenda was Waiver of Sabbatical Leave Return Obligation, UMASS 
Amherst. Provost Crosson explained that Professor Christensen, having completed the first semester of 
his two semester return obligation, has signed up for early retirement for the Fall, 1995. The Committee, 
is, therefore, being asked to waive the second term of the sabbatical leave return obligation. 

It was moved, seconded and 

VOTED; To recommend that the Board waive the remainder of the sabbatical leave obligation of 
Robert Christensen, Professor of Resource Economics at the University of Massachusetts 
Amherst. 

The next item was Departmental Reorganization, UMASS Amherst . The campus would like to 
confer departmental status on three existing programs within the School of Public Health and Health 
Sciences, which would result in greater parity and equal representation within the School, and greater 
conformity with the structure of public health programs nationally. 

It was moved, seconded and 

VOTED : To recommend that the Board approve the establishment of the Departments of 
Biostatistics and Epidemiology, Community Health Studies, and Environmental Health 
Sciences in the School of Public Health Sciences at UMASS Amherst. (Doc. T95-055) 

Due to the lateness of the hour, the discussion items were held for the next meeting. There being no 
further business to come before the Committee, the meeting adjourned at 5:15 p.m. 



fio^taA^c, t)Sf-£Mr 



Barbara DeVico 
Staff Assistant 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON -DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Tuesday, August 8, 1995; 3:00 p.m. 

Durgin Hall, Room 114 

South Campus - Wilder Street 

University of Massachusetts Lowell 

Lowell, Massachusetts 

Committee and Committee Staff : Chair McNeil; Trustees Kraft, Naughton, Okray and Taylor; Ms. 
Farrell, Assistant Vice President for Board Relations 

Committee Members Absent : Trustees Lewenberg, Morrissey, Poduska, and Sweeney 

Other Trustees : Trustees Andriolo, Bok, and Giblin 

University Administration : President Penney, General Counsel Kirby; Chancellors Cressy, Hogan, 
MacCormack and Scott; Provosts Crosson, Esposito, Taggie and Tripathy; UMMC Dean of the Graduate 
School Dr. Miller 

Chair McNeil convened the meeting at 3:00 p.m. She began the meeting by recognizing the work of 
Dr. Allen Sessoms who had left his position at UMASS as Executive Vice President and Vice President for 
Academic Affairs, for the Presidency at Queens College (CUNY). Chair McNeil spoke for the committee 
in thanking Dr. Sessoms and wishing him well in his new position. 

President Penney then introduced The President's Report . President Penney identified the areas of 
faculty roles and rewards and faculty productivity as an important focus for the President, Chancellors 
and Provosts this year. President Penney went on to introduce Dr. Joseph Deck, previously acting 
Chancellor at UMASS Dartmouth, who will be replacing Dr. Sessoms as Interim Vice President for 
Academic Affairs. President Penney then reminded the committee that today's tenure actions would be 
taken in executive session. Another agenda item, the report on enrollment management at UMASS 
Amherst, President Penney pointed out would be very important as one of her priorities for this year is 
enrollment management. Program Reviews are underway on each campus, and the Board will hear an 
update in December. 

Chair McNeil then introduced the first item for action on the agenda for the Policy and Action Item 
for Consent Agenda, the Code of Student Conduct, UMASS Amherst . Chair McNeil noted that this 
policy has been reviewed at all levels before coming to the Committee. Student Trustee Rivera then 
explained to the Committee his proposed amendments to the Code to be voted on today. 

It was moved, seconded and 

VOTED: To recommend that the Board approve the amendments to the Code of Student 

Conduct for the UMASS Amherst Campus, as contained in Doc. T94-059, as amended. 

The Committee was then told that the means for distributing the Code of Student Conduct to the 
student population includes copies that are signed for at dorm sign-in, and for off-campus students, the 
code is available at various places across the campus. 



The Committee then agreed that, due to the fact that the tenure items would be considered in 
executive session, action items three and four next would be considered next on the agenda. Therefore, 
the Joint Ph.D. Program in Biomedical Engineering and Medical Physics, (Stage I) UMASS Worcester 
was the next item considered. Chair McNeil commented on the importance of this program for its 
academic substance and its collaborative efforts in the Worcester community. President Penney 
commented on the uniqueness of this program which doesn't require new resources but has great 
potential for attracting federal grants. The President then introduced Dr. Thomas Miller in the absence of 
Chancellor Lazare to provide further information on the program. Dr. Miller then gave a brief overview 
of the plans for this program. 

It was moved, seconded and 

VOTED To recommend that the Board approve the Stage I proposal for a Joint Ph.D. Program in 

Biomedical Engineering and Medical Physics at the University of Massachusetts 
Worcester and Worcester Polytechnic Institute, as contained in Doc. T95-090. 

The next item on the agenda was the M.A./Ph.D. in Afro- American Studies. UMASS Amherst 
(Stage II) . Chair McNeil reminded the Committee that Stage I of this program was approved last year, 
and that the group that has been working on this has greatly impressed the outside reviewers and others. 
President Penney then noted that there are only three other doctoral programs in Afro- American studies 
in the U.S. The President further pointed out the plans for collaboration with other campuses on this 
program and said that the program does require some new resources which the campus has already set 
aside. Provost Crosson then spoke to the strength of this proposal, as well as the demand. Dean Lee 
Edwards and Professor Terry, Chair of the Department of Afro-American Studies, then addressed the 
Committee and described the program. 

It was moved, seconded and 

VOTED; To recommend that the Board approve the Stage II proposal for an M.A. and Ph.D. in 
Afro-American Studies at the University of Massachusetts Amherst, as contained in 
Doc. T94-057, Addendum 1. 

Chair McNeil then told the Committee that UMASS has a special statute permitting the Board of 
Trustees to enter executive session when it is considering awards of tenure to faculty. Because the 
discussion of the awarding of tenure relates to specifically named individuals, and because there is no 
means of determining how detailed the discussion might become at the Committee level, Chair McNeil, 
President Penney and Board Chair Taylor had decided that these discussions should take place in 
executive session as a matter of course, much like honorary degrees are discussed. 

It was then moved, seconded and 

VOTED: In accordance with Section 4 of Chapter 75 of the General Laws to go into executive 
session to consider awards of tenure. 

A roll call vote was taken. Chair McNeil voted for the motion, as did Trustees Kraft, Naughton, 
Okray and Taylor. Chair McNeil indicated that the Chancellors, the Provosts, incoming Acting Vice 
President for Academic Affairs Joe Deck, General Counsel Kirby, and Assistant Vice President Farrell 
should remain for the session. The time was 3:35 p.m. Chair McNeil stated that the Committee would 
reconvene in open session to take the votes. 

At 5:35 p.m. the Committee returned to open session and took the following votes, the first being the 
Awards of Tenure. UMASS Amherst. UMASS Boston. UMASS Dartmouth, UMASS Lowell. 

It was moved, seconded and 



VOTED To recommend that the Board concur with the President in the award of tenure to the 

following individuals in the following Departments: 

Amherst 

Roberto Alejandro, Department of Political Science 

Helan Page, Department of Anthropology 

Jennie Traschen, Department of Physics & Astronomy 

Robert Wilson, Department of Hotel, Restaurant & Travel Administration 

Boston 

Cynthia Aber, College of Nursing 

Dartmouth 

Dana Fine, Department of Mathematics 

Emmanuel Ojadi, Department of Chemistry 

Eileen O'Neill, Department of Institutional Nursing 

Karen Payton, Department of Electrical & Computer Engineering 

Bal Ram Singh, Department of Chemistry 

Kathleen Suchon, Department of Management/Human Resources 

Lowell 

Haim Levkowitz, Department of Computer Science 
John Wooding, Department of Political Science 
Susan Woskie, Department of Work Environment 

The next action item was the A ppointments with Tenure, UMASS Amherst, UMASS Dartmouth 
(Executive Session) . It was then moved, seconded and 

VOTED To recommend that the Board concur with the President in the appointment of Dr. Guy 

Lanza as Director of the Environmental Sciences Program and as full professor in the 
Department of Food Science at UMASS Amherst, with tenure. 

And further, to concur with the President in the appointment of Dr. Timothy Lodge as full professor 
in the Department of Polymer Science and Engineering at UMASS Amherst, with 
tenure. 

And further, to concur with the President in the appointment of Dr. Brian Rothschild as full 
professor in the Department of Biology at UMASS Dartmouth, with tenure. 

Due to the late hour, the informational item on the agenda, the Report on Student Assessment and 
Enrollment Management, UMASS Amherst, was not presented. 

There being no further business to come before the Committee, the meeting adjourned at 5:40 p.m. 




Elizabeth H. Tuthifl Farrell 
Assistant Vice President for 
Board Relations 




-3- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST* BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

r 

Tuesday, October^, 1995; 1230 p.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff; Acting Chair Poduska; Kraft, Morrissey, Naughton (arrived late), 
Okray and Taylor; Ms. Farrell, Assistant Vice President for Board Relations 

Committee Members Absent Chair McNeil; Trustees Lewenberg and Sweeney 

Other Trustees : Trustees Giblin and Rivera 

University Administration : President Penney; Chancellors Cressy, Hogan, Lazare and Scott; Provosts 
Crosson, Esposito, Taggie and Tripathy; General Counsel Kirby; Vice President Joseph Deck; Deputy 
Provost Aitken, UMASS Amherst 

Chair Poduska convened the meeting at 12:40 p.m. in the absence of Trustee McNeil and gave an 
outline of the meeting. 

The first item on the agenda was The President's Report . President Penney then updated the 
Committee on the following areas: Program Reviews; the Tenure "Committee"; and activities at the 
HECC, including admissions and financial aid task forces. The campuses are also working on enrollment 
management, which impacts on many areas, and a preliminary report will be provided to the 
Committee at the December meeting. 

The next item on the agenda was a Presentation on Tenure by Vice President Deck. Vice President 
Deck reviewed the tenure standards for each campus and each bargaining unit. This included: standards 
for personnel actions; personnel reviews prior to the tenure decision year; levels of review for tenure; 
extramural reviews; the "algorithms" at each campus for recommending or denying tenure; and 
administrative responsibilities. Vice President Deck stressed the importance of the Trustees' 
understanding that each campus has a different method and a different standard for recommending 
tenure. 

The next item on the agenda was the Awards of Tenure, UMASS Amherst and UMASS Dartmouth . 
The motion was made to enter into Executive Session for the purpose of discussing the awards of tenure. 
It was seconded and 

VOTED : To enter into Executive Session to discuss the award of tenure. 

Trustees Kraft, Okray and Taylor voted for the motion, as did Chair Poduska. The time was 1:10 
p.m. Chair Poduska stated that the Committee would reenter open session at the conclusion of this 
agenda item. 

At 1:50 p.m. the Committee reconvened in open session. The next item on the agenda was 
Preliminary Reports on 1995 Fall Semester Enrollments . President Penney reminded the Committee that 
the information presented was very preliminary. Some highlights include: an increase in headcount, a 



slight decrease in FTE, a decrease in undergraduate enrollment and an increase in graduate students of 
which were anticipated by the campuses. 

In response to an inquiry which Trustee Rivera raised in Executive Session regarding the Tenure 
"Committee", Chair Poduska asked that President Penney and Vice President Deck follow up with 
Trustee Rivera and review his inquiry. 

The next item on the agenda for information was the Course and Teacher Evaluation Guide, UMASS 
Amherst . Trustee Rivera provided the Committee with some background on this guide (the CATE 
guide) and his view of its importance to the tenure review process. Christine Lopes, President of the 
UMASS Amherst SGA spoke to the issue of sharing effective student evaluations in order for students to 
get the most out of their classes. They stated that they hoped to have Trustee approval for this guide 
and funding in order to produce it Norm Aitken, Deputy Provost, spoke to the complexity of the issue of 
this type of publication, pointing out areas where there are legal and collective bargaining issues. 
Some discussion regarding this guide was then held. The students were advised to take the 
appropriate next steps at the campus level. 

There being no further business to come before the Committee, the meeting adjourned at 2:30 p.m. 

Elizabeth H. Tuthill Farrell 

Asst. Vice President, Board Relations 



(revised) 

UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON 'DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Tuesday, December 5, 1995; 2:30 p.m. 

Faculty Conference Room 

University of Massachusetts 

Medical Center 

Worcester, Massachusetts 

Committee and Committee Staff : Chair McNeil; Trustees Kraft, Lewenberg (arrived late), Morrissey, 
Naughton, Okray, Poduska, and Taylor (arrived late); Ms. Farrell, Assistant Vice President for Board 
Relations 

Committee Members Absent : Trustee Sweeney 

Other Trustees : Trustees Bogan, Giblin, Haynes and Rivera 

University Administration : President Penney; General Counsel Kirby; Interim Vice President Deck; 
Associate Vice President Layton; Chancellors Cressy, Hogan, Lazare, MacCormack and Scott; Provosts 
Crosson, Esposito, Taggie and Tripathy; Vice Chancellors for Student Affairs Mulvey and Robinson; Vice 
President Chmura 

Faculty Representative : Professors Cooke, May, Phelan and Russell 

Chair McNeil convened the meeting at 2:45 p.m. and began by thanking her colleagues for their 
support over a personally difficult period, with special thanks to Trustee Poduska for his leadership on 
the Committee in her absence. Chair McNeil also welcomed the Trustees present who are not Committee 
members. 

The first item on the agenda was the President's Report . President Penney provided information 
regarding the Joint Admissions Agreement with the Community Colleges, and the President thanked 
Associate Vice President Lynn Griesemer for her work on that effort. The President then reported that 
the Higher Education Coordinating Council had approved the following new degree programs: PhD in 
African-American Studies at UMASS Amherst; MAT at UMASS Dartmouth; and the joint PhD in Nursing 
between UMASS Boston and UMASS Lowell. The President further reported that the HECC had delayed 
approval of new Admissions Standards and said that the University continues to work closely with the 
HECC on those standards. President Penney also reported that there is a new legislator workshop on the 
Amherst campus on December 12 and 13 with a focus on K-12 reform with the Deans of UMASS Schools 
of Education taking a leadership role. Finally, President Penney gave an overview of the Committee's 
agenda. 

Chair McNeil then introduced the first policy and action item for consent agenda, the Student Senate 
Constitution, UMASS Dartmouth, and asked Vice Chancellor for Student Affairs, Tom Mulvey to 
provide brief remarks regarding the document, noting that this had been well-vetted across the campus 
and had extensive input, particularly from students. Vice Chancellor Mulvey reported that the Assistant 
Chancellor for Affirmative Action had also reviewed the document and was satisfied with outreach 
efforts. UMASS Dartmouth Student Trustee Matthew Morrissey also spoke to the quality of the 



document and noted the efforts of the students who put in a great amount of time and introduced several 
students in attendance. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To approve the amendments to the Student Senate Constitution at UMASS Dartmouth as 
contained in Doc. T95-095. 

The next policy and action item for consent agenda was the Residency Status for Tuition 
Classification Purposes . General Counsel Joyce Kirby informed the Committee that the changes in the 
Residency Status are minor and reflect the University's need to specifically include in the policy 
document current campus policies regarding residency under which the campus operates. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To approve the amendments, as indicated in Doc. T95-019, Residency Status for Tuition 
Classification Purposes, Part TV (Appeals). 

The next item on the agenda for action was Appointments with Tenure, UMASS Lowell and 
UMASS Worcester, and Award of Tenure, UMASS Worcester . Chair McNeil indicated that, in keeping 
with the Board's prerogative to consider tenure in executive session, the Committee would enter 
executive session, and would reconvene in open session at the conclusion of these agenda items. 

It was moved, seconded and 

VOTED : To enter executive session for the purpose of considering tenure. 

Trustees Kraft, Naughton, Okray, Poduska all voted for the motion, as did Chair McNeil. The time 
was 2:55 p.m. 

At 3:05 p.m., the Committee reconvened in open session. 

The next item for action was the Student Legal Services, UMASS Amherst . Vice President Kirby 
provided background information on this item, noting that when the Board approved limited litigation 
authority for the Student Legal Services Organization, there was a sunset provision that ends on 
December 15, 1995. Chancellor Scott commented that the services had been reasonably used, and the 
administration is comfortable with the continuation of its work in its current context. UMASS Amherst 
Student Trustee Rivera also said that the services had been very helpful to students. Trustee Chair Taylor 
commented that the vote should contain language providing another sunset period allowing for future 
review of the services as a general operating principle. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

WHEREAS, the authorization for limited litigation authority for the Student Legal 
Services Office, granted by the Board of Trustees on December 1, 1993 in Trustee 
Document T93-059 Addendum 1, shall expire on December 15, 1995 unless the Board of 
Trustees acts affirmatively to continue litigation authority; and 



WHEREAS, the President and Chancellor have reviewed the operations of the office, 

NOW, THEREFORE, IT IS HEREBY RESOLVED: 

that the authorization by this Board for the Student Legal Services Office on the Amherst 
campus to provide representation in litigation on behalf of students in certain situations, 
which is contained in Trustee Document T93-059, is hereby extended until December 15, 
2000 under the same terms and conditions as stated in said Trustee Document, unless 
and until this Board affirmatively modifies or terminates said authorization. 

The next item for action was the Program Review Progress . Chair McNeil then asked Vice President 
Deck to update the Committee. Vice President Deck reported that he and the President had met with the 
Chancellors of the undergraduate campuses and that the process is going very well. Vice President Deck 
also said that the next steps will engage the faculty and particularly the unions on the campuses and on 
February 1 plans will be submitted to the President's Office and Trustees and there will be an update at 
the February meeting. During the period before recommendations are made, extensive discussions will 
be held on the campuses, involving faculty and students, though the process will differ on each campus. 
After the Chancellors have made their preliminary recommendations, contract negotiations (the extent of 
which will depend on each individual contract) will begin. Each Chancellor then informed the 
Committee of their status in reviewing information at the campus-wide level. The Committee also heard 
from faculty representatives regarding faculty response to the process, which was reported as being 
supportive of the process, but recognizing that the most difficult time will come when the actual 
recommendations are made. Trustees noted the importance of this process, irrespective of the size of the 
budget, and focused on the improvement of the institution, particularly the educational infrastructure 
which continues to suffer from previous budget cuts. 

It was then moved, seconded and 

VOTED: To recommend that the Board take the following action: 

The Board of Trustees acknowledges the progress being made in the program review 
process and authorizes and directs the President to continue the process and to take any 
actions appropriate and necessary through the Chancellors to implement the outcomes of 
the review and to report back to the Board at its February meeting. 

The next item on the agenda for information was the Fall, 1995 Enrollment Information . Chair 
McNeil called on Associate Vice President Daphne Layton to provide highlights from the Enrollment 
Report. Associate Vice President Layton noted that more information would be sent out with full Fall '95 
student enrollment numbers; she then reviewed the report, noting the relatively stable enrollments from 
'92-'95, the out-of-state-enrollments, enrollments of students of color, and 1995 admissions rates. Some 
discussion regarding the flat enrollment rates occurred, and Associate Vice President Layton suggested 
that these would be attributed to: demographic trends, tuition and fee policy of the university, and the 
stabilization of retention rates which generally follows a stabilization of the budget. There was also 
extensive discussion regarding students of color and the ratio of these students among in-state versus 
out-of-state, which the administration will provide. 

The next informational item was the Enrollment Management Initiatives . Vice President Deck 
described the process of enrollment management as a holistic approach to all activities, from attracting to 
retaining students; management, assessment, recruitment; selling the institution; matching the student to 
the best area of study; reviewing campus plans; programmatic changes; and admissions standards. Vice 
President Deck has reviewed the broad areas of an enrollment management program at each campus, and 
the President's Office will host seminars to further educate the administration in this area, including a 
seminar on data systems. Vice President Deck reported that UMASS Amherst currently has the most 
advanced program, and invited Provost Crosson and Vice Chancellor for Student Affairs, Tom Robinson, 



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to comment on their work. Provost Crosson commented on the importance of this management system 
and the need to develop a collaborative structure to consider the areas that impact a student's decision to 
attend UMASS Amherst, such as bringing in more academic people into these conversations. Vice 
Chancellor Robinson noted that this activity represents a significant change in behavior on the campus, 
particularly the intertwining of strategic planning and enrollment management, and has revealed the 
importance of the entire campus to link efforts to maximize retention. This work, he reported, demands 
extensive involvement of many members of the campuses, as well as high schools and guidance 
counselors. Further discussion regarding these efforts included the importance of using the 
Administrative Redesign process to establish systems that benefit students, and a clear definition of goals 
that will help the institutions make decisions that continue to improve the university. There was also 
some discussion regarding enrollment policy and issues of acceptance rates versus yield rates. 

The next informational item was the Faculty Rewards, Incentives, Tenure Review . Chair McNeil 
suggested postponing this item, in the interest of time, to a future meeting. 

The next informational item was the Technology Transfer Report . Chair McNeil called on Vice 
President Tom Chmura to give a report on this item. Vice President Chmura then gave an overview of 
the work that he and Vice President/General Counsel Kirby did with the Five Campus Task Force and 
are continuing as an advisory group. He spoke of the difficulty of starting a program of this nature at the 
five campuses as a system, and a new organizational approach, with transfer offices located on three 
campuses, Worcester (already in place), Amherst, and Lowell. In terms of financing these offices, Vice 
President Chmura said that $400,000 of central funds and campus contributions make a total $1.5 million 
investment. The proposed policies on intellectual property, conflict of interest, and consulting are at the 
bargaining table at four campuses and have been accepted at Worcester. Vice President Chmura then 
gave examples of the benefits that the University and the Commonwealth will achieve from this new 
organization. There was some discussion regarding incentives for faculty entrepreneurs to work within 
this system. 

Chair McNeil then asked for a consensus to move the previously voted item, Student Legal Services. 
to the Consent Agenda of the Board of Trustees. The Committee agreed. 

There being no further business, the meeting adjourned at 4:45 p.m. 



ilizabeth H. Tuthlll Farrell 
Assistant Vice President, 
Board Relations 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Tuesday, January 31, 1995; 3:00 p.m. 

Chancellor's Conference Room 

University of Massachusetts 

Harbor Campus 

Boston, Massachusetts 

Committee and Committee Staff : Chair Spence; Trustees Andriolo, Bogan, Giblin, Haynes, Hoff, Karam, 
Lizana, O'Leary, Purdy, Reed and Taylor; Ms. Farrell, Assistant Vice President for Board Relations 

Committee Members Absent: Trustees Flores, Lewenberg, 

Other Trustees : Trustee Foley 

University Administration : President Hooker; Vice President Lenhardt; General Counsel Kirby; 
Chancellors Scott, Penney, Cressy, Hogan and Lazare; Ms. Wanczyk, University Controller; Ms. Uber, 
University Budget Director 

Faculty Representatives : Professor May, UMASS Amherst 

Chair Spence called the meeting to order at 3:15 p.m. The first item on the agenda was the Revisions 
' to the Academic Personnel Policy. UMASS Worcester . Chancellor Lazare provided an overview of the 

changes in the policy and the process involving faculty members that led to the proposed policy 
revisions. 

It was moved, seconded and 

VOTED: To recommend that the Board approve the revised Academic Personnel Policy at 

UMASS Worcester as provided in Doc. T95-022 superseding Doc. T80-011C. 

The next item on the agenda was the Revisions to the Employee Travel Policy and Guidelines . Vice 
President Lenhardt indicated the revisions pertaining to out of state travel authorizations. 

It was moved, seconded and 

VOTED: To recommend that the Board amend the Employee Travel Policy and Guidelines by 

striking out the language in the category "Authorization to Travel Out-of-State and 
Out-of-Country - Applicability" and inserting in its place the following language: 

Applicability: Blanket authorizations in advance for out-of-state and out-of-country travel for 
legitimate and necessary business purposes may be issued only by the Chair of the 
Board of Trustees (for the President) and by the President (for the Chancellors). Any 
such person traveling pursuant to a blanket authorization shall complete such 
documentation as may be required by University policies and guidelines. The Travel 
Authorization Form must be completed by all other travelers seeking authorization to 
travel out-of-state and/or out-of-country or to receive an advance in accordance with 
t campus policy. 



The next item on the agenda was the ACSIQM Loan Guaranty. Chancellor Scott provided 
information on this item to the Committee, indicating the benefits that ACSIOM has provided to the 
University which will be further enhanced by this loan. 

It was moved, seconded and 

VOTED: To recommend that the Board approve a loan guaranty, secured one-half from 

Trustee Reserve and one-half from the Amherst Campus Research Trust Fund, of up 
to $800,000 for a line of credit from a commercial bank to the Applied Computing 
Systems Institute of Massachusetts Inc. (ACSIOM), a non-profit corporation affiliated 
with the University, provided that the terms and conditions of the loan guaranty 
shall be subject to the approval of the Vice President for Management and Fiscal 
Affairs and Treasurer, and the Chancellor of the Amherst Campus. 

The Committee then requested that they be provided with information regarding the number and 
amounts of all current loan guarantees. 

The next item on the agenda was the Indemnification Authorization . General Counsel Kirby 
provided background information on this item, and assured the Committee that this is within the terms 
of the University's insurance. 

It was moved, seconded and 

VOTED: To recommend that the Board take the following action: 

Under the authorization granted in General Laws, chapter 258, Section 9 to public 
employers to indemnify their public employees, to delegate authority to the 
President of the University, upon recommendation of the General Counsel, to 
indemnify by way of settlement or satisfaction of a judgment a University officer or 
employee for any asserted liability arising out of any action or inaction falling within 
the scope of employment. Such indemnification shall be limited to the aggregate 
amount of any and all claims arising out of a single occurrence, shall not exceed one 
million dollars ($1,000,000) and shall not include punitive damages. 

Any such indemnification also shall be limited to those claims for which their is no 
insurance coverage, including coverage under the University of Massachusetts Self- 
Insurance Trust. This authorization or any action taken pursuant to this 
authorization shall not be construed as a waiver of any available insurance or as a 
waiver of the fiscal responsibility of the Commonwealth of Massachusetts to fund 
any appropriate request for indemnification. 

The next item on the agenda was the Massachusetts Ventures Corporation, UMASS Amherst . 
Chancellor Scott briefly described the development of this corporation as an economic development effort 
between the campus and the western Massachusetts region. The Committee expressed concern regarding 
the sequence of the commitment of University dollars and the University's achievement of equity interest 
in any spin-off companies. 

The Committee then agreed to amend the vote with the following provisions; it was moved, seconded 
and 

VOTED : To recommend that the Board authorize the President to enter into an agreement for 

an amount not to exceed $125,000 per year for up to three (3) years for membership 
on Massachusetts Ventures Corporation's Board and for services from the 
corporation, including development and management of University research with 



commercial potential, provided that such funds are matched by the Pioneer Valley 
Economic Council: provided further, that such contract shall be exempt from the 
competitive bid requirements contained in Trustee Document T92-031 (Appendix D). 

And furthe r, to direct the Chancellor of the Amherst campus to explore the 
possibility of the University securing equity interests in all spin-off companies 
established by Massachusetts Ventures Corpora tion and report back to the 
Committee on the outcome. 

The next item on the agenda was the Building Authority Refinancing, UMASS Dartmouth, and 
Building Authority Refinancing. UMASS Lowell . The Committee discussed these action items, 
agreeing that, though the savings will not be as great as was initially hoped due to the rise in interest 
rates, these refinancing actions still make economic sense. 

It was moved, seconded and 

VOTED ; To recommend that the Board take the following action: 

WHEREAS, the Board of Trustees on December 7, 1994 voted to approve the 
refunding by the Southeastern Massachusetts University Building Authority 
("SMUBA") of its 1986 Series A Bonds; 

NOW, THEREFORE, BE IT RESOLVED by the Board of Trustees of the University 
of Massachusetts (the "Board"): 

To authorize the guaranty (the "Guaranty") by The Commonwealth of Massachusetts 
(the "Commonwealth"), acting through the Board pursuant to the provisions of 
Chapter 703 of the acts of 1964, as amended, of the payment of the principal of, and 
interest on, the bonds issued for the purposes of effectuating the said refinancing (the 
"Bonds"), which guaranty shall be with respect to a principal amount not to exceed 
$36 million; and 

To delegate to the President of the University or such other officer as he may 
designate the authority to take such actions and execute such agreements by and on 
behalf of the University and the Board as he may determined to be advisable, 
necessary or convenient to effectuate the Refinancing and the Project including but 
not limited to the following: 

To approve, execute, and deliver on behalf of the Board, acting on behalf of the 
Commonwealth, an amendment or supplement to the Contract for Financial 
Assistance, Management and Services, dated May 1, 1986, (the "Contract") by and 
between SMUBA and the Commonwealth, acting by the through the former Board of 
Trustees of Southeastern Massachusetts University, said amendment to provide that 
the Contract shall in all respects apply to the new Bonds issued to refund all or a 
portion of the bonds referred to in the Contract; 

To execute, or cause to be executed by facsimile signature, on behalf of the Board, the 
form of the Guaranty on the form of the bonds; 

To verify the accuracy and completeness of the information concerning the 
University contained in any official statement prepared in connection with the 
issuance of the Bonds by SMUBA and deliver appropriate certificates with respect 
thereto; and 



-3- 



To do or authorize other officers of the University to do all things necessary or 
convenient to carry out the purposes of this vote and the documents authorized 
hereby and to assist the Authority in completing the sale and delivery of the bonds 
authorized hereby. 

It was further moved, seconded and 

VOTED; To recommend that the Board take the following action: 

WHEREAS, there are currently approximately $27.5 million of bonds outstanding 
(the "Outstanding Bonds") which were issued by the University of Lowell Building 
Authority ("ULBA") for the purpose of financing the construction and renovation of 
dormitories and other facilities on the Lowell campus, pursuant to Chapter 557 of the 
Acts of 1961, as amended; 

WHEREAS, ULBA can realize substantial debt service savings by refinancing certain 
of ULBA's Outstanding Bonds under current tax-exempt market conditions; and 

WHEREAS, the installation of a sprinkler system in Fox Hall on the Lowell campus 
is required in order to comply with applicable laws; 

NOW , THEREFORE, BE IT RESOLVED by the Board of Trustees of the University 
of Massachusetts (the "Board"): 

To approve the refinancing by ULBA of all or a portion of its Outstanding Bonds 
designated First Series, First Series Completion, Second Series A, Third Series, and 
Fourth Series A (the "Refinancing"); 

To approve and request the undertaking of a capital project by ULBA to acquire and 
install an appropriate sprinkler system in Fox Hall at a cost not to exceed $1,500,000 
(the "Project"); 

To authorize the guaranty (the "Guaranty") by The Commonwealth of Massachusetts 
(the "Commonwealth"), acting through the Board of the payment of the principal of, 
and interest on, the bonds issued for the purposed of effectuating the Refinancing 
and financing the Project (the "Bonds"), which guaranty shall be with respect to a 
principal amount not to exceed $28 million; and 

To delegate to the President of the University or such other officer as he may 
designate the authority to take such actions and execute such agreements by and on 
behalf of the University and the Board as he may determine to be advisable, 
necessary or convenient to effectuate the Refinancing and the Project including but 
not limited to the following: 

To approve, execute and deliver, on behalf of the Board, acting on behalf of the 
Commonwealth, an amendment or supplement to the Restated Contract for State 
Financial Assistance and Services dated as of September 1, 1976, as amended and 
supplemented (the "Contract") by and between ULBA and the Commonwealth, 
acting through the Board; 

To execute, on behalf of the Board, the form of the Guaranty on the form of the 
Bonds; 



-4- 



To verify the accuracy and completeness of the information concerning the 
University contained in any official statement prepared in connection with the 
issuance of the Bonds by ULBA and deliver appropriate certificates with respect 
thereto; and 

To do or authorize other officers of the University to do all things necessary or 
convenient to carry out the purposes of this vote and the documents authorized 
hereby and to assist the Authority in completing the sale and delivery of the Bonds 
authorized hereby and the Project. 

The last item for action was the Membership in the University Hospital Consortium Service 
Corporation . Chancellor Lazare indicated that this vote is necessary to continue its membership in this 
group and the delegation of authority to the President is necessary in order to take any action that may 
require immediate response before the next Board of Trustees meeting. 

It was further moved, seconded and 

VOTED; To recommend that the Board delegate to the President in consultation with the 

Chancellor of the Worcester campus authority to determine whether and at what 
level the Worcester campus will participate in the University Hospital Consortium 
Services Corporation and to take such actions and executive such agreements or 
other documents by and on behalf of the University as he may determine to be 
advisable, necessary, or convenient to implement the decision. 

The next item on the agenda was the Preview of the FY96 Budg et. University Budget Director 
Valerie Uber presented information on the budget, including historical information on state support, 
tuition and fees, and financial aid, with a look at the current situation in those areas as well as what the 
University can expect in the coming years. Discussion centered around student charges with specific 
concern regarding financial aid; deficit spending; and means of incorporating wage increases. The 
Committee received packets of information on the presentation. 

Ms. Wanczyk, the University Controller, then presented the Second Quarter Interim Financials . She 
noted that the reports show that the University is on budget for FY95, that the University's cash position 
from 12/93 to 12/94 remained virtually unchanged, and that her office is working to develop a system for 
reporting daily cash-on-hand. The Committee asked for information regarding savings associated with a 
warmer, less snowy winter. 

Following a short discussion on the status of the budget and questions pertaining to student charges 
and financial aid, Chair Spence suggested a special meeting prior to the April meetings be held to discuss 
these issues. 

There being no further business to come before the Committee, the meeting adjourned at 4:40 p.m. 

Elizcfcith H. Tuthill Farrell 

Assistant Vice President, Board Relations 



-5- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE SPECIAL MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Tuesday, March 7, 1995; 8:30 a.m. 

Board Room 

University of Massachusetts 

18 Tremont Street 

Boston, Massachusetts 

Committee and Committee Staff : Chair Spence; Trustees Bogan, Flores, Giblin, Haynes, Lizana, Reed; 
Ms. Farrell, Assistant Vice President for Board Relations 

Committee Members Absent: Trustees Andriolo, Hoff, Karam, O'Leary, and Purdy 

Other Trustees : Trustee Morrissey 

University Administration : President Hooker; Vice President Lenhardt; General Counsel Kirby; 
Chancellors Scott, Penney, Cressy, Hogan; Deputy Chancellor Stanton 

Chair Spence called the meeting to order at 8:44 a.m. and reminded the Committee that this special 
meeting had been called to discuss FY1996 Tuition and Fees and the Budgetary Impact . President 
Hooker then stated that the administration, through much discussion with Trustees and students, plans 
to work within the following principles: total combined tuition and mandatory fees will«hot be increased 
more than the increase on CPI; if the University receives the total FY96 state budget request as approved 
by the Board in October, 1994, there will be a rollback of any approved increases; if the total requested 
increase is not received, the rollback will be proportional to the percent of the request that is received; 
each campus is accorded the flexibility to work out the details of it's own rollback percentage if the 
budget is not fully funded. President Hooker went on to say that there are many claims on already scarce 
revenues, and to the extent possible, any administrative cost savings achieved would be targeted toward 
academic areas. 

Chair Spence then turned to Chancellor Cressy who presented to the Committee the Dartmouth 
campus' needs associated with their tuition and fee plan established in 1992 to bring that campus' charges 
in line with the other UMASS campuses. The Chancellor noted that he had worked closely with student 
Trustee Matt Morrissey, and that the students remain fully aware of the differential fee structure. Trustee 
Morrissey then commented that he is working with Chancellor Cressy to work within the plan, but to try 
and keep fee increases down. He went on to say that the students do reluctantly support the fee 
increases. 

Chair Spence next asked Chancellor Scott to review the Amherst campus' increase proposals. 
Chancellor Scott reminded the Committee that the tuition and fee charges at UMASS Amherst are the 
second highest in the nation, and further reminded that for FY95 the campus had no fee increase. The 
campus' goal is to have minimal increases, bringing the campus' charges down in comparison to other 
institutions. Chancellor Scott further stated that there are no major issues from students on the campus 
goals, but that discussions regarding the amount of a rollback, and the "trigger point" for rolling back 
based on the state budget are ongoing. Chancellor Scott indicated that the Amherst campus point for 
rolling back may be lower than the other campuses. 

Chair Spence then asked Chancellor Hogan to speak on behalf of the Lowell campus' tuition and fee 
plans. Chancellor Hogan then laid out the campus' proposed plans over the next six to seven years in the 



context of the study led by Trustee Bok. The campus plans to keep tuition and fees at a zero percent 
increase over the next five years, based on inflationary increases from the state, reduction of payroll 
totaling $5 million, and through early retirement savings while continuing to fulfill the projects laid out in 
the Bok Study and the President's Action Plan. There was then some discussion regarding the student 
faculty /non-faculty ratios. Chancellor Hogan indicated that the workforce reductions and early 
retirements will impact the ratio, but the ratio will reach 17:1, and the Chancellor went on to say that 
through utilization of new learning methods and technology the students should not be adversely 
affected. 

Chancellor Penney next presented the plans for the Boston campus. The Chancellor noted that the 
campus plans, in adherence to the President's and Trustees' policy, are to keep increases to 2.8%. The 
funds from these increases are needed in four major areas: repairs, staff, equipment and library. The 
campus is also making plans for a student campus center which will utilize student fees. The Chancellor 
also indicated that private fundraising for scholarships is a high priority for the campus, given the unmet 
financial need estimated at $32 million. Further, Chancellor Penney underscored the importance of 
flexibility for each campus in determining the point and amount of rollback of fee increases. 

President Hooker then stated that the primary motivation for rolling back any increase is to continue 
to provide access for students to the University. He reiterated the administration's position that each 
campus will make its own decision regarding rollbacks. Discussion regarding financial aid dollars for 
UMASS Boston from the Park Square Building and the issue of changes in financial aid that have led to 
increases in need across the campuses was held. It was noted that this issue should be considered as the 
Board discusses and sets tuition and fees. 

Chair Spence then asked Deputy Chancellor Stanton to report on the Medical School in the absence of 
Chancellor Lazare. Mr. Stanton stated that their recommendations fall within the guidelines, and the 
campus is responding to Trustee leadership, looking at tuition more comprehensively for FY97. Mr. 
Stanton further said that they are looking at the impact on students of the increase in learning contract 
payback requirements. Mr. Stanton pointed out to the Committee that the exception to the tuition and fee 
recommendations is the increase recommended for the Graduate School of Nursing, which is supported 
by students in the program. Mr. Stanton responded to a question on billing arrangements for students 
who take longer than the standard four years to complete medical school, indicating that this is an 
ongoing issue that is being pursued. 

Following comments on the long-term outlook as outlined by Chancellor Hogan and questions as to 
whether other UMASS campuses are tying current increase decisions to long-term plans, President 
Hooker said that his Action Plan ties reallocation and tuition revenues together. Chancellor Scott further 
stated that the budget plans for the Amherst campus call for massive reallocation ($4-5 million in FY96), 
reduction in workforce and investment in technology for the next five years. 

Trustee Haynes then called on Lynn Robitaille, a student from UMASS Amherst, to present the 
Amherst students' position on the tuition and fee proposals. Ms. Robitaille reported that the students 
remain committed to working for the budget for the University, and identified four principles that the 
students agreed on after meetings with Chancellor Scott and Trustee Karam: if there is no new money, 
increases would equal CPI (2.8%); if there is a full appropriation, the increases would be fully rolled-back; 
if only a portion of the request is funded, a portion of the fee increase would be rolled back; and the 
trigger point for a partial rollback may differ among the campuses. Ms. Robitaille indicated that student 
plans to help support the budget include meeting with various legislators, working with Trustee Karam 
as chair of the External Affairs Committee and establishing a phone bank. She reported that the students' 
meeting with Chair Finneran was very positive. Amherst and Dartmouth students have had 
conversations with Trustee Karam regarding the FY96 budget request, and have shared a list of their 
priority items with Trustee Karam. Students were encouraged to send their proposed modifications to 
the presentation to Vice President Lenhardt. 



-2- 



y 



Chancellor Scott then commented on the financial aid needs of the Amherst campus, stating that the 
campus is reallocating money into financial aid to reduce unmet need and in order to keep increases from 
seriously impacting students. Currently institutional need-based financial aid totals $10.5 million. 

Chair Spence commended the President and Chancellors, noting that the Committee is pleased to see 
the cooperation with the students and others in asserting the four principles for moving forward on 
tuition and fee increases. Trustee Lizana further thanked the administration and Trustees for 
coordinating the efforts that have included students in conversations about tuition and fee decisions and 
budget discussions. Further conversation regarding repackaging the budget and the importance of 
emphasizing budget impact on academic and student life will continue. 



Chair Spence adjourned the meeting at 9:55 a.m. 



Elizabeth H. Tuthill Farrell 

Assistant Vice President, Board Relations 



I 



i 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Tuesday, April 4, 1995; 3:00 p.m. 

Board Room 

University of Massachusetts Dartmouth 

North Dartmouth, Massachusetts 

Committee and Committee Staff : Chair Haynes; Trustees Andriolo, Bogan, Flores, Foley, Giblin, Hoff, 
Karam, Lizana, O'Leary; Ms. Farrell, Assistant Vice President for Board Relations 

Committee Members Absent : Trustees Purdy, Reed and Spence 

University Administration : Vice President Lenhardt; General Counsel Kirby; Chancellors Cressy, 
Hogan, Lazare, Penney, Scott 

Faculty Representative : Dr. Cooke 

Acting as Chair of the Committee in the absence of Trustee Spence, Trustee Haynes convened the 
meeting at 3:10 p.m. Vice President Lenhardt addressed the first area of the agenda, the President's 
Action Plan for the Year 2000 with the first item for discussion being the Early Retirement Incentive 
Program . Mr. Lenhardt reported that, to date, 335 employees had signed up for the program; the 
campuses have different enrollment closing dates, with the last being April 21, and the administration 
anticipates an additional 100 enrollees by that time. Mr. Lenhardt informed the Committee that at the 
end of June, there will be more specific details on: the number of employees who opt for this program; 
specific savings that will be realized and at what point in the next three years; the breakdown of 
faculty /non-faculty; and proposed replacement numbers. The Chancellors each reported their current 
information on early retirees. 

The next item under the Action Plan was the Redesign of Administrative Functions . Mr. Lenhardt 
reported that the bidders conference had been held and 15 firms attended; the firms are going to visit at 
least two of the five campuses. Proposals are due on May 4, 1995. Trustee Giblin is the lead Trustee on 
the selection committee, of which Trustee O'Leary is also a member. Chair Haynes indicated that he is 
working with Union officials to gain input on this activity. 

The next item was the Capital Facilities . Mr. Lenhardt reported on the list of projects, mainly repair 
and maintenance; the total amount is $41 million. Mr. Lenhardt also said that the administration has been 
assured that the Higher Education Capital Bill will be released in May. 

The last item for discussion under the Action Plan was the Information Technology . Mr. Lenhardt 
indicated that Assistant Vice President Marty Smith and Trustee Poduska are making a presentation on 
this subject to the Academic and Student Affairs Committee and they will continue to share information 
with this Committee. 

The first item on the agenda for action was the FY 1996 Tuition and Fee Budg ets. Mr. Lenhardt 
reminded the Committee that at the March 8 special meeting of this Committee, the recommendations 
from the five campuses were heard. He further noted that this vote approves the tuition and fee rates for 
1996 and the corresponding budgets. Mr. Lenhardt informed the Committee that the Higher Education 
Coordinating Council (HECC) voted a zero tuition increase, and encouraged Trustees to keep student 
charge increases as low as possible. Chair Haynes noted two exceptions to the general tuition policy 



(maintaining tuition and fee increases at or below the level of inflation), being the UMASS Dartmouth 
four year plan (fee increases to be matched by spending increases when the appropriation allows), and 
the Nursing program at UMMC. 

It was then moved, and seconded. 

Further discussion regarding potential for rollback of these increases based on the final state budget 
was held, in addition to questions regarding policy issues on tuition and fees. Student Trustees Brian 
Andriolo and Al Lizana then spoke to the cooperation among students, Trustees and administration this 
year in promoting the budget, coming to an agreement in setting tuition and fees and negotiating the 
potential rollback of these proposed increases. Trustee Andriolo then asked that his abstention from this 
vote be noted. 

It was then 

VOTED: To recommend that the Board take the following action: 

WHEREAS, in order to balance the need to provide a quality higher education with the 
need to provide access to higher education, the Board intends to keep total tuition and 
mandatory fee increases for 1995-96 to an amount no higher than the increase in 
consumer price index. 

WHEREAS, the Board recognizes that the President, with the advice of the Chancellors, 
may recommend a reduction in some or all of the increases in mandatory fees after 
receiving the University's 1996 budget appropriation but also recognizes the need to 
establish the maximum tuition and mandatory fee amounts in April for billing and 
planning purposes; 

NOW THEREFORE, in accordance with Section 9(0 of Chapter 15A of the General Laws, 
to recommend to the Higher Education Coordinating Council that the tuition for the 
University campuses for Academic Year 1995-1996 shall be as follows: 



Tuition: 



Amherst 
Undergraduate (Mass. resident) 
Undergraduate (non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 







Annual 




From 


To 


Dollar 


% 


AY1995 


AY1996 


Change 


Change 


$2,220.00 


$2,220.00 


$0.00 


0.0% 


$8,566.00 


$8,566.00 


$0.00 


0.0% 


$2,778.00 


$2,778.00 


$0.00 


0.0% 


$8,566.00 


$8,566.00 


$0.00 


0.0% 



Boston 
Undergraduate (Mass. resident) 
Undergraduate (non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 

Dartmouth 

Undergraduate (Mass. resident) 
Undergraduate (non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 

Lowell 

Undergraduate (Mass. resident) 
Undergraduate (non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 

Worcester 
Medical School 
*Graduate (Mass. resident) 
*Graduate (non-resident) 



$2,220.00 $2,220.00 

$8,568.00 $8,568.00 

$2,778.00 $2,778.00 

$8,568.00 $8,568.00 



$1,836.00 $1,836.00 

$6,919.00 $6,919.00 

$2,206.00 $2,206.00 

$6,919.00 $6,919.00 



$1,884.00 $1,884.00 

$7,028.00 $7,028.00 

$2,260.00 $2,260.00 

$7,028.00 $7,028.00 



$8,792.00 $8,792.00 
$2,738.00 $2,738.00 
$8,566.00 $8,566.00 



$0.00 


0.0% 


$0.00 


0.0% 


$0.00 


0.0% 


$0.00 


0.0% 


$0.00 


0.0% 


$0.00 


0.0% 


$0.00 


0.0% 


$0.00 


0.0% 


$0.00 


0.0% 


$0.00 


0.0% 


$0.00 


0.0% 


$0.00 


0.0% 


$0.00 


$0.00 


$0.00 


$0.00 


$0.00 


$0.00 



And further, in accordance with Section 1A of Chapter 75 of the General Laws, to 
establish and approve the fees and the fee-based budgets for Academic Year 1995-96 
as listed in Doc. T95-042, including the following: 

Curriculum Fees: 









Annual 






From 


To 


Dollar 


% 




AY1995 


AY1996 


Change 


Change 


Amherst 










Undergraduate (Mass. resident) 


$2,031.00 


$2,092.00 


$61.00 


3.0% 


Undergraduate (non-resident) 


$2,031.00 


$2,092.00 


$61.00 


3.0% 


Graduate (Mass. resident) 


$1,714.00 


$1,765.00 


$51.00 


3.0% 


Graduate (non-resident) 


$1,714.00 


$1,765.00 


$51.00 


3.0% 


Boston 










Undergraduate 


$1,780.00 


$1,896.00 


$116.00 


6.5% 


Graduate 


$1,780.00 


$1,896.00 


$116.00 


6.5% 



Dartmouth 
Undergraduate (Mass. resident) 
Undergraduate (non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 

Lowell 
Undergraduate (Mass. resident) 
Undergraduate(non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 



$1,711.00 $1,953.00 $242.00 14.1% 

$2,405.00 $2,967.00 $562.00 23.4% 

$1,820.00 $2,111.00 $291.00 16.0% 

$2,405.00 $2,967.00 $562.00 23.4% 



$2,646.00 $2,775.00 $129.00 4.9% 

$2,646.00 $2,775.00 $129.00 4.9% 

$2,646.00 $2,775.00 $129.00 4.9% 

$2,646.00 $2,775.00 $129.00 4.9% 



Worcester 

Medical Students 

Graduate School of Nursing 

Graduate School of Biomedical Sciences 



$1,000.00 $1,250.00 $250.00 25.0% 
$312.00 $1,250.00 $938.00 300.6% 
$312.00 $330.00 $18.00 5.8% 



Mandatory Fees: 



Amherst 
Undergraduate 
Graduate 

Boston 
Undergraduate 
Graduate 

Dartmouth 
Undergraduate 
Graduate 

Lowell 
Undergraduate 
Graduate 

Worcester 

Medical School, First and Second Year 
Medical School (3rd-4th year & Grad.) 
Graduate - Nursing School 
Graduate School of Biomedical Sciences 







Annual 




From 


To 


Dollar 


% 


AY1995 


AY1996 


Change 


Change 


;i,216.00 


$1,263.00 


$47.00 


3.9% 


;i,oi8.oo 


$1,051.00 


$33.00 


3.2% 


$298.00 


$304.00 


$6.00 


2.0% 


$298.00 


$304.00 


$6.00 


2.0% 


$288.00 


$333.00 


$45.00 


15.6% 


$288.00 


$333.00 


$45.00 


15.6% 


$75.00 


$76.00 


$1.00 


1.3% 


$75.00 


$76.00 


$1.00 


1.3% 


$470.00 


$470.00 


$0.00 


0.0% 


$435.00 


$470.00 


$35.00 


8.0% 


$435.00 


$470.00 


$35.00 


8.0% 


$435.00 


$420.00 


($15.00) 


-3.4% 



All members of the Committee voted for the motion; Trustee Andriolo abstained. 



-4- 



The next item on the agenda was the HEFA Loan, UMASS Amherst . Chancellor Scott asked that the 
vote be amended to change the request from "a loan" to "financing". 

It was moved, seconded and 

VOTED: To accept the amendment to the wording contained in the vote. 

It was moved and seconded, as amended. 

Further discussion then took place. Chancellor Scott explained this change as necessary to provide 
the campus options to pursue the most advantageous means of getting the funds to complete the 
necessary cabling for all of the buildings on campus, providing students, faculty and staff with access to 
computer networks. Discussion regarding communications links (which are at different levels of 
completion) at the campuses ensued. 

It was then 

VOTED: To recommend that the Board authorize the President or his designee on the Amherst 
campus to take action necessary to obtain financing from the Massachusetts Health and 
Educational Facilities Authority (HEFA) not to exceed $2,400,000.00; or in the alternative, 
to enter into a lease/purchase arrangement in an amount not to exceed $2,400,000.00 
through HEFA's Master Lease program for the purpose of completing a fiber optic cable 
project as described in Doc. T95-043. 

The next item on the agenda for action was the UMASS Building Authority Refinancing . Mr. 
Lenhardt reminded the Committee that this vote is a rewrite of a vote already taken by this Board, with 
corrections made reflecting certain legal requirements. He further pointed out to the Committee that for 
the first time, the Building Authority competitively bid for the bonds. This vote authorizes the Building 
Authority to borrow the funds on behalf of the University and commits the Trustees to ensuring that the 
debt payments are made out of the University operating budget. 

It was moved and seconded. 

Further discussion ensued. Mr. Lenhardt indicated that this action will not result in an increase in the 
Authority Fee paid by students. Also, the debt will not impact on the University's bond rating as the 
Building Authority has the full faith and credit of the Commonwealth behind it. In regard to the 
involvement of DCPO in these projects, Mr. Lenhardt stated that there are only three projects where 
DCPO may have any managerial control; all other projects are stand-alone and will be managed by the 
Building Authority. Mr. Lenhardt then informed the Committee that the interest rate would be 5.5%. 

Further the Chair requested that any substantial changes in the projects list should be reported back 
to this Committee and to the Board, notwithstanding the language in the vote that allows changes to be 
made by those who are signatories on the contract. 

The Committee was then assured that this contract is appropriate, including the facsimile signature 
authorization and the actions in regard to this contract taken by those four signatories. The General 
Counsel assured the Committee that the contract is proper as to form which bond counsel required. 
Further, the Committee was assured that the Building Authority follows all state requirements, including 
those that govern prevailing wage. 



-5- 



It was then 

VOTED To recommend that the Board take the following action: 

WHEREAS The University of Massachusetts Building Authority (the "Authority") is 
authorized by Chapter 773 of the Acts of I960, as amended, among other 
things, to provide dormitories, dining commons and other buildings and 
structures for the use of the University of Massachusetts (the "University"), its 
students, staff and their dependents and certain organizations related to the 
University, to alter, enlarge, reconstruct, remodel and do other work in or 
upon or respecting any building or structure, to provide and install 
furnishings, furniture, machinery, equipment and facilities in or for or related 
to any such building or structure and to initiate projects for such purposes 
upon written request made by authority of the Board of Trustees (the 
"Trustees") of the University and upon written approval from the 
Commissioner of Administration and the Chancellor of the System of Public 
Higher Education (the "Chancellor"); and 

WHEREAS in the judgment of the Trustees it is in the best interests of the University, its 
students, staff and their dependents and said organizations that the Authority 
initiate the projects described below; 

NOW, THEREFORE, BE IT RESOLVED THAT 

1. The President of the University be and he hereby is authorized in the name and on behalf of the 
Trustees to make a written request of the Authority that the Authority initiate the following 
projects: 

(a) any or all of the projects set forth on Schedule A attached hereto; 
and 

(b) in addition to or in lieu of any project set forth on Schedule A 
attached hereto, any other renovation, repair, remodeling or other work 
in or upon or respecting any building or structure owned or used by the 
University or the Authority, or the provision, installation, renovation, 
repair or remodeling of or other work upon or respecting any 
furnishings, furniture, machinery, equipment or facilities with respect to 
any such building or structure, all as may be requested of the Authority 
in writing from time to time by the President of the University or by the 
Vice President for Management and Fiscal Affairs and Treasurer of the 
University, the making of any such request being hereby authorized; 

2. The projects to be initiated by the Authority in accordance with the request authorized to be made 
in Section 1 of this resolution may in the discretion of the Authority be undertaken separately or 
together for financing purposes; 

3. The President of the University and all other officers of the University be and they are and each acting 
singly is authorized and directed to request the Commissioner of Administration and the Chancellor 
to approve in writing the undertaking by the Authority of the projects a request for which is hereby 
authorized and to do such other things and to take such other action as to the officer or officers so 
acting shall, as conclusively evidenced by their taking the action hereby authorized, deem necessary 
or desirable to be done or taken to carry into effect the matters hereby authorized. 



And, 
RESOLVED: 



RESOLVED. 



That the making of a Contract for Financial Assistance, Management and Services 1995-A 
Projects between The Commonwealth of Massachusetts, acting by and through the Board 
of Trustees (the "Trustees") of the University of Massachusetts (the "University"), and 
University of Massachusetts Building Authority pursuant to Chapter 773 of the Acts of 
1960, as amended, and pertaining to the undertaking by the Authority of projects for 
which a request was authorized by the Trustees on April 5, 1995, be and the same hereby 
is authorized; that the Chairman of the Trustees, the Vice Chairman of the Trustees, the 
President of the University and the Vice President for Management and Fiscal Affairs and 
Treasurer of the University, each acting alone, be and hereby are authorized, in the name 
and on behalf of The Commonwealth of Massachusetts, to sign, seal with common seal of 
said University and of the Trustees, acknowledge if deemed advisable, and deliver a 
Contract for Financial Assistance, Management and Services 1995-A Projects 
substantially in the form presented to this meeting (subject to such changes, insertions 
and omissions as may be approved by the signer of such Contract on behalf of the 
Trustees and the signer of such Contract on behalf of the Authority) and providing for 
the issuance by the Authority of bonds in the maximum principal amount of $22,600,000; 
that the form of such Contract for Financial Assistance, Management and Services 1995-A 
Projects presented to this meeting and each term, condition and provision therein 
contained be and the same hereby are approved, subject to such changes, insertions and 
omissions as may be approved by the signer of such Contract on behalf of the Trustees 
and the signer of such Contract on behalf of the Authority; and that the execution of such 
Contract for Financial Assistance, Management and Services 1995-A Projects by the 
signer of such Contract on behalf of the Trustees shall be conclusive evidence (a) of the 
approval by such signer of any such changes, insertions or omissions and the 
authorization of the same and (b) that the form of Contract for Financial Assistance 
Management and Services 1995-A Projects so executed (with approved changes, 
insertions and omissions, if any) is as hereby authorized and approved. 

In addition to the authorizations granted by this resolution to the Chairman of the 
Trustees, the Vice Chairman of the Trustees, the President of the University and the Vice 
President for Management and Fiscal Affairs and Treasure of the University, and without 
limiting any such authorizations, the Trustees, pursuant to Chapter 75, Section 3A of the 
Massachusetts General Laws and every other authority thereunto the Trustees enabling, 
hereby delegate to the President of the University and the Vice President for 
Management and Fiscal Affairs and Treasurer of the University, each acting alone, the 
power to do all acts and things and exercise all powers each such officer is authorized by 
this resolution to do or exercise, such delegation being intended to be commensurate 
with the authorizations granted to each such officer by this resolution, and such 
delegation being in the judgment of the Trustees necessary or desirable. 

That the Chairman and Vice Chairman of and the Vice President for University Relations 
and Secretary to the Board of Trustees (the 'Trustees") of the University of Massachusetts 
be and each such officer acting alone hereby is authorized, in the name and on behalf of 
The Commonwealth of Massachusetts, to sign by manual or facsimile signature the form 
of guaranty provided in the Contract for Financial Assistance, Management and Services 
1995-A Projects between said Commonwealth, acting by and through the Trustees, and 
University of Massachusetts Building Authority dated as of May 1, 1995 on each bond 
issued by said Authority to finance the cost of the Projects referred to in said Contract; in 
case any officer of the Trustees whose signature or facsimile signature shall appear on 
any such bond shall cease to be such officer before the delivery thereof, such signature or 
facsimile signature shall nevertheless be valid and sufficient for all purposes, the same as 
if such officer had remained in office until such delivery. 



-7- 



SCHEDULE A 

Project Total Project Cost 

AMHERST CAMPUS 

Mechanical System Replacement, Phase I Morrill Science Center $ 450,000 
Mechanical System Replacement, Phase II Goodell, Herter, 

Chen worth & Health Services 643,235 

Bartlett Roof & Mechanical Repairs 120,000 

Phase III Lederle Chilled Water Systems 571,765 

Roof Replacements: Stockbridge, French & Fernald 569,823 

Roof Replacement: Middlesex 85,972 

Roof Replacements: Physical Plant, Power Plant 789,205 

Lederle Joint Repairs 750,000 

Electrical System Repairs, Phases I and II 1,630,000 

Stem Distribution 2,000,000 

Old Goessmann(ADA Upgrade Requirement) 264,000 

Campus Research Hood Replacements 300,000 

Morrill HVAC Improvements/Repairs & Replacements 450,000 

TOTAL AMHERST CAMPUS 8,624,000 

DARTMOUTH CAMPUS 

Cooling Tower (Library) diverted to Group 2 coil piping 88,236 

High Voltage Electric Preventative Maintenance 93,988 

Electric Feeder #4 Replacement Fine Arts Building 47,496 
Electric Feeder #2 Replacement Administration, Campus Ctr. 

Library & Gymnasium 214,839 

Formaldehyde Room Exhaust Makeup Air 30,701 

Library Fuel Tank Remove & Replace/Spill Clean-up 72,237 

Chiller Repair: Campus Center 118,974 

Cooling Towers Fill, Asbestos Replacement 72,237 

Asbestos Removal 63,964 

Roof Replacement 824,866 

Steam Line Repairs 1,768,479 

Replace Fume Hood s 1 06, 1 69 

Emergency Generator Repair 1 1 2,477 

Fire Alarm Repair 217,152 

Prior Projects 322,185 

Energy Management Systems 400,000 

Steam Line Repairs 380,666 

TOTAL DARTMOUTH CAMPUS $4,934,666 



I SCHEDULE A 

Project Total Project Cost 

BOSTON CAMPUS 

Replace Chiller Pumps $ 68,000 

Air Balancing Study & Implementation 74,920 

Flooring Repairs: McCormick Gym, Science Greenhouse 110,000 

Elevator Safety & ADA: Wheatley & McCormack Building 140,010 

Saltwater Strainer & Dock Utilities 185,000 

Replace Insulation & Heat Trace Repairs 100,000 

Regulating Valve Repairs 40,000 

Repair Doors for Safety & Access 191,000 

ADA Phase I Bathrooms 150,000 

Handicapped Access Door & Corridor Improvements 180,000 

Phase II Roof Replacements & Patio Repairs 478,000 

Admin. 1st Floor in-Fill/Relocate UMB Public Safety 185,000 

Garage Slab repair & Resurfacing 1,250,000 

Clark Center Lobby & Pool Tiles 195,000 

Handicapped Access Door & Corridor Improve, Phase II 150,000 

ADA Stairways 100,000 

Handicapped Access Parking/Drop-off 35,000 

ADA Phase II - Bathrooms, etc. 155,000 

| Glass Repairs to Skylights & Catwalk 195,000 

TOTAL BOSTON CAMPUS 3,981,930 

LOWELL CAMPUS 

Fire Safety Improvements: Olney, Olsen, North Campus 3,561,000 

Fire Safety Improvements: Coburn Hall, South Campus 1,470,000 

Steam Line Repair: South Campus 1,280,000 

Repair HVAC Syst: Dugan, Admissions, South Campus 200,000 

Repair HVAC Syst: Lydon/ Alum Libraries, North Campus 294,000 

Repair HVAC Syst: North Campus Libraries 758,000 

TOTAL LOWELL CAMPUS 7,563,000 

GRAND TOTAL ALL CAMPUSES $25,103,596 



-9- 



The next item on the agenda was the Southeastern Massachusetts University Building Authority 
Agreement for Management and Services . General Counsel Kirby informed the Committee that this 
vote authorizes the President to take actions necessary to have the SMU Building Authority operate in a 
manner similar to that of the University of Massachusetts Building Authority in regard to day to day 
operations. 

It was moved, seconded and 

VOTED: To recommend that the Board authorize the President to take all actions necessary, 
including negotiation and execution of an agreement(s) for financial assistance, 
management and services between the University and the Southeastern Massachusetts 
University Building Authority, to arrange for operation of Authority projects in a manner 
substantially similar to the arrangement between the University and the University of 
Massachusetts Building Authority as outlined in Doc. T92-118, Addendum 7 (providing 
for the management of the operations and the funds of Building Authority projects by the 
University). 

The next item taken out of turn for action was Continuing Education Building, UMASS Amherst . 
Chancellor Scott reminded the Committee that the campus was previously authorized by the Board to 
seek an off-campus location for Continuing Education in conjunction with DCPO and he went on to 
describe the needs of the Continuing Education program. Further discussion was held regarding the 
Committee's concern for the actual costs for renovations on the building, and the Committee requested 
that the Chancellor report back with a specific cost analysis. 

It was moved, seconded and 

VOTED: To recommend that the Board authorize the President or his designee, in cooperation 
with the Commonwealth Division of Capital Planning and Operations (DCPO), to take all 
necessary actions to purchase a building to house the campus' Continuing Education 
Programs as set forth in Doc. T93-074A. 

The next item on the agenda was the Development Loans . Vice President Boyd briefed the 
Committee on the plans for campus expansion of development offices for more aggressive fund-raising. 
At this time two campuses have made loan requests and specific plans for use of these loans have been 
received; the other three campuses have made other plans for funding their office needs. 

It was moved and seconded. 

Discussion regarding the interest rate as reflected in the policy for the Management of University 
Funds led to the Committee to ask for a review of that policy at the June meeting, and a specific interest 
rate for these loans not to be determined by the Treasurer until July 1 after that policy is reviewed. 

It was then 

VOTED: To recommend that the Board take the following action: 

To authorize, pursuant to Section 13 of the Policy for Management of University Funds 
(Doc. T92-031) to authorize the President to approve loans to the Dartmouth and Lowell 
campuses either from an intracampus source or from the University's cash float or other 
accounts under the President's control in amounts not to exceed $337,000 for the 
Dartmouth campus and $1 million for the Lowell campus, the proceeds to be used 



-10- 



exclusively for the purpose of supporting development efforts. Said loans shall be 
repaid on such terms, and at an interest rate to be established by the Treasurer on July 1, 
1995, and shall be documented by fully executed line of credit agreements and supported 
by business plans. 

The next item on the agenda was the Intercampus Loan, UMASS Dartmouth . Vice Chancellor Dars 
briefed the Committee on the need to change the purpose of this loan which was originally approved by 
the Board for repair of steam lines on the campus and will now be used to implement the Early 
Retirement program. The Committee asked that the interest rate for this loan reflect the same concerns 
and ultimate review of the Management of University Funds Policy as noted above. 

It was moved, seconded and 

VOTED; To recommend that the Board take the following action: 

Pursuant to Section 13 of the Policy for Management of University Funds (Doc. T92-031) 
to authorize the President of the University to approve an intercampus loan to the 
Dartmouth campus from the University's cash float or other accounts under the 
President's control, in the amount of $600,000, the proceeds to be used exclusively to fund 
the costs of the early retirement program. Said loan shall be repaid on such terms as may 
be determined by the University Treasurer, with the interest rate to be established by the 
Treasurer on July 1, 1995, and shall be documented by fully executed line of credit 
agreements. 

To authorize the President to do such other things and to take such other action as he 
deems necessary or desirable to carry into effect the matters herein authorized. 

Further, to revoke the $600,000 intercampus loan authorization to the Dartmouth campus 
voted by the Board at its October 5, 1994 meeting. 

The Committee further discussed the importance of following the established policies as approved by 
the Board and acting within those policies, while reserving the right to modify particular votes based on 
an interest to review policies where changes may be of benefit to the University. 

The final item on the agenda was the review of the Investment Committee . Chair Haynes reported 
that the University is achieving the targeting investment return at a little more than 6%. 

There being no further business, the meeting adjourned at 4:25 p.m. 

Elizabeth H. Tuthill Farrell 

Asst. Vice President, Board Relations 



-11- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Tuesday, June 6, 1995; 3:00 p.m. 

Board Room 

President's Office 

Boston, Massachusetts 

Committee and Committee Staff ; Chair Spence; Trustees Andriolo, Bogan, Foley, Giblin, Haynes, Hoff, 
Karam, , O'Leary, Purdy, and Reed; Student Trustee-elect Rivera; Ms. Farrell, Assistant Vice President for 
Board Relations 

Committee Members Absent : Trustees Andriolo, Flores, and Lizana 

University Administration : President Penney, Vice President Lenhardt; Vice President & General 
Counsel Kirby; Chancellors Cressy, Hogan, Lazare, Scott; Vice Chancellor MacCormack 

Chair Spence convened the meeting at 3:00 p.m. and welcomed President Penney to her first 
Administration and Finance Committee meeting in her capacity as President. President Penney then 
described a slight revision in the order of the agenda, beginning with the President's Report . President 
Penney also noted that she is working with other college and university Presidents on the issue of Federal 
Financial Aid which has serious implications for the students of UMASS, and said she would keep the 
Trustees informed. She further indicated that the Committee had a request from a UMASS Boston 
student to speak to the issue of the Matching Gift Scholarship Fund Fee and he would be invited to 
address the Committee when that item is presented. 

The first agenda item under the President's Report was an update on the President's Action Plan . 
President Penney provided an update on the Early Retirement program which to date has 696 University 
employees. The Administrative Redesig n Task Force is working to select a firm and President Penney 
thanked Trustees Giblin and O'Leary, as well as the University administration and others who have 
worked to bring the selection to this point. President Penney next reported that Chairman Finneran of 
House Ways & Means reported out a $165 million Capital Bill and described the components of that Bill 
as well as the need to work to secure Administration support of the figures in the House 
recommendation; she further stated that the University is moving forward with $22.8 million for repair 
and maintenance projects. In the area of Information Technology, President Penney reported that 
faculty development awards were given in this area, and further, that there is a vote before the 
Committee today that further enhances the University's information technology capacity. 

President Penney next reported on the Third Quarter Interim Financial Report, noting that there is 
still an operating deficit as planned, but it should be less than originally anticipated. She reminded the 
Committee that the information is not complete due to the time of the year, and more information for 
analysis will be available after the end of the year. In reporting on the Financial Indicators. President 
Penney thanked the Trustees for helping to put the guidelines in place, and told the Committee that they 
will have more recommendations before them at the August meeting. 

The next item under the President's Report was the Matching Gift Scholarship Fund Fee. UMASS 
Boston . President Penney reviewed the background materials for the Committee, noting that the Student 
Senate supports this voluntary fee as reflected in their recent referendum. President Penney further 
informed the Committee that this is the first of this type of program that they know of. In response to 
Trustee comments in support of this program President Penney told the Committee that there is also a 



check-off for faculty to donate to a scholarship fund. Chair Spence then recognized Dan Currie, student 
at UMASS Boston, who voiced his concerns regarding this fee as reflected in his written statement 
(attached). 

The next items on the agenda were the Policy and Action Items for Consent Agenda . President 
Penney presented the Revision to the Management of University Funds which comes to the Committee 
in response to their concerns at the previous meeting. 

It was then moved, seconded and 

VOTED; To recommend that the Board adjust the interest rate for inter- or intra-campus loans 
between funds by striking from the fourth sentence of Section 13 of the Policy for the 
Management of Institutional Funds (Doc. T92-031) the words, "equivalent to the prime 
rate of interest" and inserting in place thereof the following: — equivalent to 50 basis 
points more than the comparable United States Treasury instrument. 

The next item on the agenda was the Revisions to the Employee Travel Policy . President Penney 
told the Committee that this vote makes it possible to tie employee reimbursements to the IRS guidelines 
without bringing subsequent changes in the rate back to the Committee. 

It was moved, seconded and 

VOTED; To recommend that the Board provide for continuous updates of the University's mileage 
reimbursement rates for employees who use their personal vehicles for official business 
by amending the Employee Travel Policy (Doc. T92-031, Appendix B), first, by striking 
the first paragraph of the section captioned Method/ Procedure under Privately-Owned 
Motor Vehicles, and inserting in place thereof the following: — 

Reimbursement for personal vehicle use will be reimbursed at the 
then current rate established by the Unites States Internal Revenue 
Service, which rate shall be deemed to include the cost of fuel and 
other operating expenses of the motor vehicle. 

Second, by striking the Travel Reimbursement Rate Table as appearing in said Appendix B. 

And third, by striking the third sentence from the paragraph captioned Applicability 
under Meals Per Diem and inserting in place thereof the following: -- 

Effective June 7, 1995, the per diem allowance for meals shall be 
$25.00. The University Treasurer is hereby authorized to adjust such 
allowance from time to time to account for changes in the cost of 
living. The Treasurer shall promulgate and keep current a Travel 
Reimbursement Rate Table showing allowances for meals and mileage. 

Notwithstanding the foregoing, no change in reimbursement rates covered by collective 
bargaining agreements shall take effect until such change shall have been agreed upon 
pursuant to appropriate bargaining procedures. 

The next item on the agenda for action was the FY 1996 Revenue-Based Budg ets. President Penney 
reminded the Committee that the Trustees approved the Student Fee-Based Budgets in April, and this is 
the next set of budgets that require their approval; hospital and group practice budgets are excluded from 
this process and will be brought to the Trustees at a later date. President Penney noted that the budgets 
reflect an overall 1.5% deficit for the University which have been planned for by the Chancellors. She 
further stated that cash-fund balances remain strong. Some discussion regarding deficits in certain profit 



-2- 



centers, like bookstores, ensued, and the Committee stated their concern for seeing a turnaround 
specifically in this area; the Committee did thank the staff for the well-presented materials which reflect 
the conditions leading to deficit-spending. 

It was then moved seconded and 

VOTED; To recommend that the Board approve the budgets and fee structures for the 
FY 1996 Revenue-Based Budgets at the Amherst, Boston, Dartmouth, Lowell 
and Worcester campuses as described in Doc. T95-062, and further, to 
approve associated changes in Statements of Trust and increases in fees as 
appear in said document. 

The next item on the agenda was the Authorization for Expenditure of Funds in FY 1996 . President 
Penney noted that this item is voted each year in order to authorize spending in anticipation of the 
approval of the current budget. 

It was moved, seconded and 

VOTED; To recommend that the Board authorize the President to expend at the FY1995 rate, state 
and non-state funds for the University from July 1, 1995 until such time as the Board 
adopts the Operating Budget for FY 1996. 

The next item for action was the Two Biotech Park Lease, UMASS Worcester . President Penney 
asked Chancellor Lazare to report on this item. Chancellor Lazare told the Committee that the Two 
Biotech Park is owned by the UMASS Foundation which leased some spaces to other companies in 
addition to the Medical Center, and with those other tenants leaving, UMMC seeks to lease the balance of 
the space from the Foundation. Deputy Chancellor Stanton further explained some of the plans for the 
leased space. 

It was moved, seconded and 

VOTED; To recommend that the Board authorize the President, subject to approval by the DCPO 
to amend the current lease between the University and the University of Massachusetts 
Foundation for 44,024 square feet in Two Biotech Park to include approximately 30,000 
additional square feet of space for expansion of research activity at an annual cost not to 
exceed $3,000,012.00. 

The next item on the agenda was the HEFA Loan. UMASS Boston, University Information Systems . 
President Penney reported that this vote expands on the vote taken in April for UMASS Amherst and will 
make similar technology improvements available at UMASS Boston and UIS. 

It was moved and seconded. 

VOTED: To recommend that the Board authorize the President and his/her designee to take 
action necessary to obtain financing from the Series E pool or other appropriate vehicle of 
the Massachusetts Health and Educational Facilities Authority (HEFA) not to exceed 
$2,4000,000.00; or, in the alternative, to enter into a lease/purchase arrangement, in an 
amount not to exceed $2,400,000.00 through HEFA's Master Lease program; such 
financing shall be for the purpose of completing a fiber optic cable project, including 
equipment, installation and software upgrades for the Boston campus and for University 
Information Systems (UIS) in Central Administration, as described in Document T95-043, 
Addendum I. The allocation of this financing shall be $1.4 million for the Boston campus 
and $1.0 million for UIS, and these amounts shall be in addition to the amount 
authorized by the Board of Trustees on April 4, 1995, for the Amherst campus. 



-3- 



The next item on the agenda was the Appointment of Interim Chancellor, UMASS Boston . 

It was moved, seconded and 

VOTED: To recommend that the Board concur with the President in the appointment of Jean 
MacCormack as Interim Chancellor of the University of Massachusetts Boston campus at 
an annual salary of $140,000, effective immediately, to serve at the pleasure of the 
President and the Board. 

The Committee asked that items from the Clinical Management Board of significant impact be, at the 
least, reported to this Committee in the event that those action items are approved by the Board by 
consent. 

The next item on the agenda for discussion was the Report on the FY 1996 State Budg et. President 
Penney told the Committee that the House and Senate each approved their budgets and will soon go into 
conference; the administration will work with Trustees to retain the $11.1 million approved in the senate 
budget for UMASS. President Penney reminded the Committee that in December the University had 
been recommended for a $25 million cut, and the turn around is due to hard work and the efforts of many 
Trustees, students, staff and alumni. 

Chair Spence then asked for a motion to go into Executive Session to discuss Real Property. 

< 

It was moved, seconded and 

VOTED : To go into Executive Session. 

Trustee Spence voted for the motion as did Trustees Bogan, Giblin, Haynes, Hoff, Karam, O'Leary 
and Reed. 

Trustee Spence further announced that the Committee would not reconvene in open session. The 
time was 3:40 p.m. 





Elizabeth H. Tuthitt Farrell 

Asst. Vice President, Board Relations 



Statement of Daniel 0. Currie, UMass-Boston graduate 
(C.P.C.S., 1995), to the Committee on Administration and 
Finance of the Board of Trustees of University of 
Massachusetts, June 6, 1995 

Re: The proposal to establish a UMass-Boston Matching 
Gift Scholarship Fund Fee 

Thank you, Madam Chair, for the opportunity to address the 
committee. I would like to preface by saying that I am not especially 
comfortable opposing one of the first initiatives of the new interim 
president. I would rather congratulate Dr. Penney. I certainly do 
wish the acting President every success. But now is not a time for 
politics. It's time for an honest appraisal of what I consider to be a 
seriously misguided initiative. 

I would just like to bring to your attention several concerns 
about the alleged merits of this proposal, and about the procedure 
that has brought the matter to your agenda. 

First of all I would like to make it clear that I appreciate the 
appeal of the proposal. As the President reports, it "was endorsed 
overwhelmingly by the Boston campus' students." Although, in fact, 
it was endorsed by just 652 students. But I would have been 
shocked if even this small percentage of the student body who 
participated in the student election had not voted for a proposal 
that simply appears to ask: Do you support increased scholarship 
assistance? Of course they do. I though we all did. This student 
endorsement only confirms the obvious. (Incidentally, I have a file 
filled with records of proposals that were endorsed by votes of the 
student body and the Student Senate but which were later blocked 
by the campus administration. So such student endorsements alone 
are not a compelling reason for the Trustees to give this matter the 
effect of policy.) 

Almost every student knows that Massachusetts and its public 
university has to do more to address the growing student need for 



financial assistance. To be convinced of that all one should need to 
know is that there are 25% fewer dollars available in the Mass. State 
Scholarship Fund today than there were just seven years ago when 
the cost of attending UMass was about one-third of what it is now. 

So in light of the dramatically increased student burden that 
has occurred during the recent history of this 132 year old school, I 
do not think it is fair to argue that by supporting this proposed fee, 
students should demonstrate their support for scholarships. 
Likewise I don't think it's fair to infer that if students do not support 
the institution of this fee that they are not supporting state 
scholarships. On the contrary, I think students are entitled to 
believe that part of the reason they are already paying more — 
much, much more than most alumni ever did through their tuition 
and fee payments — is for the purpose of supporting a system of 
public higher education that is supposed to provide adequate 
scholarship programs. 

Now I am sure the sponsors of this proposal probably mean 
well, and I mean no disrespect to them, or to President Penney. But I 
feel deeply that they are headed in the wrong direction with this 
initiative. As someone who has only been an alumnus for three 
days, I am frankly embarrassed by it. I would like to hear the 
sponsors describe the experience of a peer institution, or any other 
college, or any other UMass campus, in which the alumni has 
proposed such a student fee. Are there such examples? 

There are certainly many examples of other successful 
approaches to alumni development activities. For instance, one is 
recommended in a 1990 report of the State Senate's Post Audit & 
Oversight Committee on public college endowment development 
which suggests that to stimulate fundraising funds should be sought 
from the legislature to match donations from alumni groups, (see 
attached) 

It should also be asked why the state university should 
empower the Boston alumni -- through the establishment of this 
student fee — to direct their fundraising energies at currently 



enrolled students, especially when the association seems to be 
having such difficulty in successfully bringing those precious 
energies to bear fruit externally. (By the way, I don't believe for a 
moment that this fee would be harmless just because it may be 
optional. The fact that the fee may be optional is only going to lead 
the alumni to divert more time away from the area of their true 
responsibility while they constantly promote this fee concept.) 

Just play around with the numbers projected in this proposal 
if you want a real sense of how inappropriate it is: From a pool of 
55,000 alumni, the sponsors of this proposal project that in the first 
year they would generate $3,100 (to match 40% of an anticipated 
student contribution of $7,750). And even this rather anemic 
alumni contribution is projected to come not from a fundraising 
drive but from "membership dues." Dues that are obviously needed 
to do a much better job in appealing to their base of 55,000 UMass- 
Boston alumni. 

There may be good reasons why the alumni association 
appears so ineffective in reaching alumni. Association By-laws seem 
to indicate that the Boston campus development office may not 
provide complete access to the names and addresses of the alumni. 
If so, this is a handicap that the trustees, if not the campus 
chancellor, should eliminate. Maybe an alumni directory should be 
published. Maybe Boston graduates should name a secretary to 
track each graduating class. Maybe the association should eliminate 
or postpone the off-putting payment of dues which is required 
before they recognize fellow graduates. These are separate issues. 

In any case, the alumni organization should not be devoting 
very limited resources for the purpose of targeting semesterly 
campaigns at a captive audience consisting of people who are not 
yet alumni. (And the alumni association really should stay out of 
student politics. As a former student senator, I can say that, despite 
their good intentions, the alumni are not really being helpful in 
sapping the activism of student leaders who I gather would be 
required to help oversee this fee arrangement. Our student leaders 



have plenty to do already. And alumni who want to generate 
support for the university have plenty of work cut out for them off- 
campus. 

Let's also remember that there already is a voluntary student 
aid contribution provision on student tuition bills, (see^kttached) 
And this provision does not limit such contributions to five dollars a 
semester. Why dilute that effort? Why not instead improve the 
effectiveness of this existing program? Why couldn't the alumni 
offer to match contributions to it, or some other existing payment 
coming to the system? 

Now this gets me to several other important, more or less 
procedural, concerns that I would like to address brief time I have 
left. I am afraid that the documentation accompanying this 
proposal is misleading and misrepresents the facts in several 
respects. 

For instance, at the bottom of the first page of "Background 
Information" in President's report #4, a claim is presented that "The 
proposal was also received warmly by a near-unanimous student 
senate" The fact is that the student senate did not take a position 
on this proposal at all. What the senate did do was succumb to the 
persistent salesmanship of the alumni corporation by simply allowed 
the question to be placed on the ballot in the student government 
elections. The senate itself never took a vote on whether or not to 
endorse the proposal. (And what no one ever mentioned was that 
over the course of many years this same alumni initiative was kept 
off of the ballot by prior student senates which in years past were 
not fooled by its deceptively simplistic surface appeal. 

The student newspaper was also remiss in its responsibility to 
explain the pros and cons of this initiative. The newspaper never 
did published a news report regarding the matter. It too succumbed 
to alumni pressure, publishing four opinion pieces advocating the 
proposal — three of them written by alumni sponsors. It never 
published a single reference to a dissenting opinion. The question 



was not anywhere accompanied by the usual statements explaining 
"arguments for" and arguments against". Not in the Student Senate, 
not in the student newspaper, not in any campaign publication, not 
on the student referenda ballot itself. 

Another more disturbing matter concerns the fact that the 
question as it appeared on the student ballot was not worded in the 
same way as it is in the Alumni Association's proposal statement 
before you ~ which is not the same as the way the question was 
worded in the issue of the student newspaper that appeared just 
before the election, (see-attached) 

A 

Further, the proposal says the scholarship fund would be open 
to all students. But criteria for awarding it have not even been 
worked out yet. Ostensibly the proposal has been sold to students 
as a need-based award. Other indications are that it would be based 
on an interpretation of merit that has yet to be defined. 

Finally, the proposed language that would appear on student 
tuition bills is unambiguous in its promise that the alumni will 
match student payments to the fee fund. The alumni explanation of 
the proposal, on the other hand, hedges that bet. 

Any of these deficiencies and misrepresentations should be 
enough to give reason to pause. At the very least, I hope that this 
trustee committee will not compound any procedural deficiency 
related to this matter by ignoring your responsibility to carefully 
consider both sides of this question, and then to go on record, 
taking a vote on it. Please do not hide behind the delegation of 
authority argument that would encourage you^o escape this 
responsibility (which I refer to in the attacheorietter I wrote to the 
Trustee Spence last week). 

I hope that the Board of Trustees will take the principled 
approach on this. Encourage the alumni to join you in holding the 
line on more student fees as a means of financing our system of 
public higher education. Call on the alumni to help you to increase 
pressure on the state to do more for students today, just as the state 



may have done so much for some of you and for them in the days 
when college was so much more affordable. 

I hope you will say: We recognize that some students are 
prepared to do still more; but we think that it wouldn't be right to 
signal a further shift in responsibility for state support and alumni 
development away from where it rightfully belongs. I hope that you 
will say: We appreciate the contribution students already make to 
the system through their compact with the state. Their partnership 
with the alumni association can wait. 



I would just like to ask whether the chair intends for this 
matter to be put to a vote of the committee and of the full board. If 
it is to go to the board I would request that a copy of my statement 
and the attached materials which I have here to be supplied to all 
members before a vote is taken. 

Contact: Dan Currie 
P.O. Box 46 
State House Station 
Boston, MA 02133 
(617) 367-4564 





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28 March 1995 



The Mass Media 



Trustee Candidates 

(VOTE for no more than ONE) 

Ballot positions 

#1. Gwendolyn R. Stokes 
#3. James F. Hagerty 
#5. Steven Sbuman 
#7. Peter Daly 

Question #1 



#2. John MacMillian 
#4. John Bergman 
#6. John Okray 
#8. Timothy Purdy 



MASSPIRG is a statewide, student-directed, non-profit, non-parti- 
san, organization which does research, education, service, and 
action on environmental, consumer, energy, and hunger relief 
issues. MASSPIRG chapters across the state pool resources and hire 
a staff of professionals to work with students on issues that concern 
us as citizens. MASSPIRG started at UMass Boston (Boston State 
College) in 1974, when students first voted to form and fund a 
chapter. 

Do You support the continued existence of MassPIRG chapter at 
UMass Boston funded through a $5.00 per student, per semester, 
waivable fee? Any student choosing not to support MASSPIRG may 
waive the fee. 



Yes 



NO 




Question #2 



Are you in favor of creating a scholarship fund, for additional 
scholarships open to all students at UMass Boston, administered by 
students and Alumni of the University, supported by an optional 
$5.00 fee, and for which the UMass Boston Alumni Association will 
seek matching funds? (A yes vote will provide for a positive, 
optional check-off on tuition bill.) 



Yes 



NO 




P.O. Box 46 

State House Station 

Boston, MA 02133 

May 31, 1995 - 

Trustee Rina Spence, Chairwoman 
Committee on Administration and Finance 
Board of Trustees, University of Massachusetts 
18 Tremont Street, Suite 800 
Boston, MA 02108 

Dear Trustee Spence: 

As a student and, as of this Saturday, a UMass Boston alumnus, I 
look forward to the opportunity to speak briefly at next week's 
meeting of the Board of Trustees' Committee on Administration & 
Finance. But, in advance, I would appreciate your giving 
consideration to several procedural concerns regarding the matter I 
will address: Committee agenda item A4, the UMass Boston 
Matching Gift Scholarship Fund Fee. 

Today, I was surprised to learn from Elizabeth Tuthill Farrell, the 
Assistant Vice President for Board Relations, that this item is not 
considered an "action item" and that it therefore will not be subject 
to a vote of the Committee on Administration and Finance, or of the 
full Board of Trustees. 

According to Ms. Farrell, the Trustees' General Counsel has rendered 
the opinion that the University President has the "delegated" 
authority to approve this agenda item (which has been 
recommended to the President's office by the Chancellor of the 
Boston campus). 

I was unaware that the Trustees had voted to delegate their 
authority to establish student fees. To so delegate would not seem 
to me to be consistent with the fourth paragraph of Mass. Gen. L. ch. 
75, § 1A which reads in part: "The board [of Trustees] shall: . . . (b) 
establish all fees . . ." Nor would such delegation seem consistent 
with Trustee By-laws which provide that "The Committee on 



Administration and Finance shall have the responsibility of 
considering, reviewing, and making recommendations to the full 
Board on . . . tuition and fees . . ." (section 5(c)iii) 

It is my understanding that Counsel's opinion may have been, 
formulated before recent personnel decisions created a situation in 
which the campus Chancellor who recommended adoption of this 
initiative became one and the same person as the University 
President who would later be called upon to review that 
recommendation. 

If it was not previously ill-advised, Counsel's opinion seems obsolete 
now, especially if the system is to maintain appropriate checks and 
balances in its operations, as I am sure you would desire. I 
therefore urge you — and your fellow Trustees — to put this agenda 
item to a vote of the Committee on Administration and Finance and, 
if approved in committee, to a vote of the full Board. 

I trust that such votes would occur pursuant to the letter and spirit 
of the Massachusetts Open Meeting Law as well as those Trustee By- 
laws that define the manner in which Trustee agendas are properly 
established. I only wish that the State Legislature and the Trustees 
would apply similar regulations to require openness at the campus 
level before policy recommendations that originate there might 
ascend to the Trustee agenda. In my opinion -- as the history of this 
item might perfectly illustrate — it is our public University's greatest 
weakness that no such campus requirements effectively exist. 



Sincerely, 
Daniel O. Currie 



cc: Daniel Taylor 
Sherry Penney 
Elizabeth Tuthill Farrell 
General Counsel 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Tuesday, August 8, 1995; 1:00 p.m. 

Durgin Hall, Room 113 

South Campus - Wilder Street 

University of Massachusetts Lowell 

Lowell, Massachusetts 

Committee and Committee Staff : Chair Spence; Trustees Andriolo, Giblin, Haynes, Hoff, O'Leary, 
Okray, and Rivera; Ms. Farrell, Assistant Vice President for Board Relations 

Committee Members Absent : Trustees Bogan, Flores, Karam, and Reed 

Other Trustees : Trustees Kraft and Naughton 

University Administration : President Penney, Vice President Lenhardt; General Counsel Kirby; Vice 
President/Secretary Boyd; Chancellors Scott, MacCormack, Cressy and Hogan; Deputy Chancellor 
Stanton; Ms. Uber, University Budget Director 

Chair Spence convened the meeting at 1:10 p.m. and began by thanking the Chancellors for their 
proposed adjustments in the fee charges; she also thanked the various constituencies who helped the 
University by working with the Legislature on this year's University budget. 

President Penney then reviewed the Presidents Action Plan . The first area the President presented 
was University-wide fundraising information, which reflected increased amount in support from $25.5 
million to $29.6; all five campuses met their fundraising goals; the UMASS Foundation endowment is 
now above $40 million, not including the $29 million in quasi endowment funds; Alumni, individual and 
corporate gifts were reported as having increased in FY1995, individual campus totals will be available in 
October. Regarding early retirement, the President reported that over 700 employees are expected to 
retire over the next three years, and less than 50% are expected to be replaced (except in the area of grants 
and contracts). In the area of administrative redesign, President Penney said that the project is on 
schedule and reminded the Trustees of the importance of their input in this effort. The President also 
reported that the campuses are continuing plans for the Information Technology information upgrades 
and grants for faculty in the area of distance learning will be given this Fall. The IT bill is still being 
worked on. President Penney informed the Committee that a major grant from the Davis Foundation for 
engineering had been received for inter-campus work in information technology; the Davis Foundation 
rarely grants to public institutions. Lastly, regarding capital activity, President Penney noted that several 
repair and maintenance projects are being conducted through the Building Authority, and the University 
is awaiting State Senate action on the higher education capital bill expected in the Fall. 

Chair Spence then moved on to the Policy and Action Items for Consent Agenda the first of which 
was the Advance Refunding of Building Authority Bonds . President Penney stated that this vote will 
reduce debt service costs, which, at the Amherst campus, will decline by $2.2 million. Vice President 
Lenhardt informed the Committee that the total cost for this refunding is estimated at $450,000, with a 
total savings between $2.5 and $2.7 million. 

It was then moved, seconded and 

VOTED: To recommend that the Board take the following action: .... 



That the making of a Contract for Financial Assistance, Management and Services 1986- 
A Project, 1988-A Projects and 1995-B Bonds between The Commonwealth of 
Massachusetts, acting by and through the Board of Trustees (the "Trustees") of the 
University of Massachusetts (the "University"), and University of Massachusetts 
Building Authority pursuant to Chapter 773 of the Acts of 1960, as amended, and 
pertaining to the issuance of bonds by the Authority for the purpose of refunding all of 
the Authority's outstanding Project Revenue Bonds, Series 1986-A, and all of the 
Authority's outstanding Project Revenue Bonds, Series 1988-A, which refunding issue 
was approved by the Trustees on August 9, 1995, be and the same hereby is authorized; 
that the Chairman of the Trustees, the Vice Chairman of the Trustees, the President of 
the University and the Vice President for Management and Fiscal Affairs and Treasurer 
of the University, each acting alone, be and hereby are authorized, in the name and on 
behalf of The Commonwealth of Massachusetts, to sign, seal with common seal of said 
University and of the Trustees, acknowledge if deemed advisable, and deliver a 
Contract for Financial Assistance, Management and Services 1986-A Project, 1988-A 
Projects and 1995-B Bonds substantially in the form presented to this meeting (subject 
to such changes, insertions and omissions as may be approved by the signer of such 
Contract on behalf of the Trustees and the signer of such Contract on behalf of the 
Authority) and providing for the issuance by the Authority of bonds in the maximum 
principal amount of $32,135,000; that the form of such Contract presented to this 
meeting and each term, condition and provision therein contained be and the same 
hereby are approved, subject to such changes, insertions and omissions as may be 
approved by the signer of such Contract on behalf of the Trustees and the signer of 
such Contract on behalf of the Authority; and that the execution of such Contract by the 
signer thereof on behalf of the Trustees shall be conclusive evidence (a) of the approval 
by such signer of any such changes, insertions or omissions and the authorization of 
the same and (b) that the form of such Contract so executed (with approved changes, 
insertions and omissions, if any) is as hereby authorized and approved. 

In addition to the authorizations granted by this resolution to the Chairman of the 
Trustees, the Vice Chairman of the Trustees, the President of the University and the 
Vice President for Management and Fiscal Affairs and Treasurer of the University, and 
without limiting any such authorizations, the Trustees, pursuant to Chapter 75, Section 
3A of the Massachusetts General Laws and every other authority thereunto the 
Trustees enabling, hereby delegate to the President of the University and the Vice 
President for Management and Fiscal Affairs and Treasurer of the University, each 
acting alone, the power to do all acts and things and exercise all powers each such 
officer is authorized by this resolution to do or exercise, such delegation being intended 
to be commensurate with the authorizations granted to each such officer by this 
resolution, and such delegation being in the judgment of the Trustees necessary or 
desirable. 

And, That the Chairman and Vice Chairman of and the President and Vice President for 

University Relations and Secretary to the Board of Trustees (the "Trustees") of the 
University of Massachusetts be and each such officer acting alone hereby is authorized, 
in the name and on behalf of The Commonwealth of Massachusetts, to sign by manual 
or facsimile signature the form of guaranty provided in the Contract for Financial 
Assistance, Management and Services 1986-A Project, 1988-A Projects and 1995-B 
Bonds between said Commonwealth, acting by and through the Trustees, and 
University of Massachusetts Building Authority dated as of August 1, 1995 on each 
bond issued by said Authority constituting a bond of the series identified as Refunding 
Revenue Bonds, Series 1995-B; in case any officer of the Trustees whose signature or 
facsimile signature shall appear on any such bond shall cease to be such officer before 



the delivery thereof, such signature or facsimile signature shall nevertheless be valid 
and sufficient for all purposes, the same as if such officer had remained in office until 
such delivery. 

And Further, That the making of a continuing Disclosure Agreement between the University of 
Massachusetts (the "University") and University of Massachusetts Building Authority 
(to which Continuing Disclosure Agreement The First National Bank of Boston, as 
Trustee under the Trust Agreement dated an of April 1, 1984, as amended, between the 
Authority and The First National Bank of Boston, as Trustee, may also be a party) 
pertaining to the Authority's Refunding Revenue Bonds, Series 1995-B, be and the same 
hereby is authorized; that the Chairman of the Board of Trustees (the "Trustees") of the 
University, the Vice Chairman of the Trustees, the President of the University and the 
Vice President for Management and Fiscal Affairs and Treasurer of the University, each 
acting alone, be and hereby are authorized, in the name and on behalf of the 
University, to sign, seal with common seal of the University, acknowledge if deemed 
advisable, and deliver a Continuing Disclosure Agreement substantially in the form 
presented to this meeting (subject to such changes, insertions and omissions as may be 
approved by the signer of such Agreement on behalf of the University and the signer of 
such Agreement on behalf of the Authority); that the form of such Agreement 
presented to this meeting and each term, condition and provision therein contained be 
and the same hereby are approved, subject to such changes, insertions and omissions as 
may be approved by the signer of such Agreement on behalf of the University and the 
signer of such Agreement on behalf of the Authority; and that the execution of such 
Agreement thereof on behalf of the University shall be conclusive evidence (a) of the 
approval by such signer of any such changes, insertions or omissions and the 
authorization of the same and (b) that the form of such Agreement so executed (with 
approved changes, insertions and omissions, if any) is as hereby authorized and 
approved. 

In addition to the authorizations granted by this resolution to the Chairman of the 
Trustees, the Vice Chairman of the Trustees, the President of the University and the 
Vice President for Management and Fiscal Affairs and Treasurer of the University, and 
without limiting any such authorizations, the Trustees, pursuant to Chapter 75, Section 
3A of the Massachusetts General Laws and every other authority thereunto the 
Trustees enabling, hereby delegate to the President of the University and the Vice 
President for Management and Fiscal Affairs and Treasurer of the University, each 
acting alone, the power to do all acts and things and exercise all powers each such 
officer is authorized by this resolution to do or exercise, such delegation being intended 
to be commensurate with the authorizations granted to each such officer by this 
resolution, and such delegation being in the judgment of the Trustees necessary or 
desirable. 

The next item on the agenda was the Current Refunding of Certificates of Participation . President 
Penney told the Committee that this refinancing will allow the University to take advantage of savings to 
upgrade telephone systems at Amherst and Worcester, while Boston will use the refinance savings to 
retire their debt. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

Notwithstanding anything to the contrary in the vote of the Board of Trustees on 
August 3, 1988, to authorize the President, or such other officer of the University as the 
President may designate, to arrange for the refinancing of University 



-3- 



telecommunications equipment as described in Document T95-082, including the 
redemption of outstanding certificates of participation and the execution of a new or 
amended lease or leases of equipment, and to take any and all such actions as may be 
necessary or desirable to effect such refinancing. 

The next item on the agenda for action was the Revisions to the University Cash Management 
Policy. Chair Spence referred this item to Trustee Haynes, Chair of the Audit Committee. Trustee 
Haynes then reported that the Committee had reviewed the revised policy which incorporates a new 
distribution model reflecting equities as a component of the investment strategy, adds language 
restricting the purchase of exotic derivatives in the portfolio, and appropriate additions to the glossary 
regarding derivatives. Trustee Haynes also reported that the Committee reviewed the equity strategy 
which will employ a long term investment approach consistent with the nature of the Operating Cash 
portfolio and the long-term claims process of the Medical Self Insurance Trust. The Audit Committee 
also discussed the portfolio returns for the UMASS Foundation and the Self Insurance Trust, and the 
endowment totals. Trustee Haynes further explained the background to add language regarding exotic 
derivatives. 

It was then moved, seconded and 

VOTED To recommend that the Board approve the revisions to the Cash Management Policy as 

listed in Doc. T92-031, Appendix F, as amended. 

The next item on the agenda was the Department of Defense Exclusion List . President Penney 
explained that this vote is a required, routine vote, that needs to be taken when there are changes in the 
composition of the Board. There followed some discussion about the level of scrutiny and Chancellor 
Hogan told the Committee that the number of people identified by the Department of Defense for 
clearance is appropriate. 

It was then moved, seconded and 

VOTED : That the Board take the following action: 

WHEREAS The current Department of Defense Regulations contain a provision making it 
mandatory that the Chairman of the Board, the President, the Secretary and the 
designated Facility Security Officer meet the personnel clearance requirements 
established for a contractor's facility clearance; and 

WHEREAS said Department of Defense Regulations permit the exclusion from the personnel 
clearance requirements of certain members of the Board of Trustees and other officers, 
provided that this action is recorded in the minutes. 

NOW, THEREFORE, BE IT DECLARED 

That the Chairman of the Board, the President, the Secretary and the designated 
Facility Security Officer at the present time do possess or will be processed for the 
required security clearance; and 

BE IT RESOLVED 

That in the future, when any individual enters upon any duties as Chairman of the 
Board, the President, Secretary or other person designated as Facility Security Officer, 
such individual shall immediately make application for the required security clearance; 
and 



BE IT RESOLVED FURTHER 

That the following members of the Board of Trustees and other officers shall not have, 
and can be effectively excluded from access to all classified information in the 
possession of the University and do not occupy positions that would enable them to 
affect adversely policies or practices in the performance of classified contracts for the 
Department of Defense or the User Agencies of its Industrial Security Program: 

NAME TITLE 

Brian Andriolo Trustee 

Daniel E. Bogan Trustee 

Derek C. Bok Trustee 

Heriberto Flores Trustee 

Michael T. Foley, M.D. Trustee 

William E. Giblin Trustee 

Robert J. Haynes Trustee 

Charles J. Hoff Trustee 

Robert S. Karam Trustee 

Myra H. Kraft Trustee 

Peter K. Lewenberg Trustee 

Ogretta V. McNeil Trustee 

Matthew Morrissey Trustee 

John M. Naughton Trustee 

James F. O'Leary Trustee 

John J. Okray Trustee 

John William Poduska Trustee 

Mary L. Reed Trustee 

Daniel Rivera Trustee 

Rina K. Spence Trustee 

Timothy Sweeney Trustee 

The next action item on the agenda was the Fiscal Year 1996 State Appropriation Allocation . 
President Penney reported to the Committee that she and the Chancellors had agreed on the 
appropriation distribution for FY96 which provides modest inflation increases, nearly restores the 
Worcester campus back to the FY92 funding levels, and matches the Dartmouth student fee increase. 
President Penney noted that none of the campuses received all of the dollars hoped for. The President 
reported that campuses plan to use these funds to increase student financial aid, to pay for building 
repairs and maintenance, upgrade information technology, equipment and staff for libraries, increase 
graduate student stipends, and to meet normal inflation. President Penney further stated that the capital 
and collective bargaining programs are not part of this State fund allocation process. 

It was moved, seconded and 

VOTED: To recommend that the Board approve the following FY96 state appropriation 
allocations: 

Amherst $167,759,944 

Boston 61,856,065 

Dartmouth 34,601,499 

Lowell 53,713,433 



■5- 



Worcester 26,621,795 

Donahue Institute for Governmental Service 527,533 

TOTAL $345,080,269 

Further, to authorize the President to make adjustments to the campus allocations for 
support of the President's Office and Central Administrative Services, to be reflected in 
the final allocation schedule submitted to the state. 

The next item on the agenda was the partial Rollback of FY 1996 Student Fee Increases . President 
Penney reminded the Committee that, based on the result of state appropriation decisions, three 
campuses are recommending partial student fee increase rollbacks; this overall strategy was approved at 
the April, 1995 Trustee meeting. President Penney then stated that the campuses are very concerned 
about both student access and fees as a revenue stream which is necessary in order to stay competitive 
with other public and private institutions. The President further noted that student and family support 
for increased state funding had a great impact on the decision to modulate these charges. Trustees 
Andriolo and Rivera spoke to the lobbying efforts that helped to keep the state appropriation at an 
increase, and the importance of continuing to strengthen the support for UMASS. Trustee Okray 
indicated that he supports the motion but, as he had not yet received a waiver from the Governor's Office 
to vote, he would be abstaining from the vote. 

A discussion then followed regarding the involvement of all members from the campus community 
in finding creative means of funding at the University. It was agreed that more communication among 
the universities constituencies is essential to making the strong case for funding support from all groups. 

It was moved, seconded and 

VOTED: To recommend that the Board approve the following revised Curriculum Support Fee 
rates for FY 1996 at the University of Massachusetts Amherst, Boston and Lowell 
campuses: 

Current FY96 Fee Revised FY96 Fee 

Amherst $2,092 $2,031 

Boston $1,896 $1,876 

Lowell $2,775 $2,646 

Trustee Okray is noted as abstaining from the above vote. 

The next item on the agenda was the Financial Indicators Guidelines and Campus Targ ets. The 
President said that she was pleased to bring these indicators for approval after a year of extensive work 
by each of the campuses. President Penney stated that the variation in campus targets is reflective of the 
different financial structures and situations at each campus, and their varying levels of ability to respond 
to certain goals. Also, President Penney said that the inability of the University to carry forward state 
funds from each year limits the University's ability to meet certain measures. President Penney further 
stated that each campus had embraced these targets and will utilize them as the type of management tool 
that the Trustees and executive leadership had envisioned. The President noted that these would be 
reviewed each year. She also thanked the campus staff and the Chancellors for their hard work. Trustee 
Haynes then thanked those who worked on this material, and the Committee also noted its appreciation 



to Trustee Karam (who was absent) for his efforts in emphasizing the importance of these materials for 
effective management at the University. 

It was moved, seconded and 

VOTED: To recommend that the Board approve the Financial Indicators Guidelines (Doc. T95- 

070) and further to approve the campus financial indicator targets for the year 2000, as 
outlined in Doc. T95-084. 

The next item on the agenda was the vote on the Lowell Arena . Chair Spence recognized Trustee 
O'Leary on behalf of the Athletic Committee. Trustee O'Leary reported that the Committee had met and 
reviewed the status of the bids for constructing the proposed arena. The bids that came in were higher 
than expected and therefore the City is contracting for a redesign of the facility. The Committee had 
agreed to vote positively for the encumbrance of funds on the Lowell campus for purposes of this project, 
but also requested further information regarding the redesign and operations of the arena as it becomes 
available. Trustee Andriolo spoke to the importance of this project in the working relationship of the city 
and the campus. Chancellor Hogan reminded the Committee that the arena will belong to the city; he 
also reviewed the means by which the campus plans to encumber the funds for its part of the project. 
While there are no promises for private funds for the arena project, the campus hopes to fundraise for the 
student center and the baseball field. 

VOTED : To authorize the President or the President's designee to continue negotiations with the 

City of Lowell on a redesign of an arena for use (through lease) by the University of 
Massachusetts Lowell, provided further that the President shall authorize the 
Chancellor of the Lowell campus to encumber funds on campus to be made available to 
fund the project in the amount of four million dollars over the next two years, provided 
that final commitment of the funding shall b subject to approval by the Board of 
Trustees. 

The next item on the agenda was the Conflict of Interest Policy . President Penney informed the 
Committee that certain federal contracting agencies will require a specific conflict of interest policy for all 
faculty and others involved in research activity as of October 1. Due to changes in federal requirements, 
all campuses must have this policy in place or risk losing federal funds for sponsored projects (some $90 
million per year). The policy is for the Worcester campus, is approved for the other campuses subject to 
collective bargaining. The policy is the work of the technology transfer task force and will substitute for 
the state conflict of interest statute as it relates to University employees engaged in research. 

It was then moved, seconded and 

VOTED: To recommend that the Board approve in accordance with section 14A of Chapter 75 of 

the General Laws to adopt the attached Policy on Conflicts of Interest Relating to 
Intellectual Property and Commercial Ventures for the Worcester campus, and to adopt 
said policy for the Amherst, Boston, Dartmouth and Lowell campuses subject to 
collective bargaining, provided that until said policy is agreed to by the parties to the 
applicable collective bargaining agreements, employees on such campuses shall 
continue to be governed by the provisions of Chapter 268A of the General Laws, as 
well as campus policies currently in effect, when engaged in research and technology 
transfer. 

The next item on the agenda for discussion was the Report on the Ad Hoc Committee on Personnel 
and Diversity . Trustee Hoff reported for Chair Reed, and told the Committee that the Subcommittee 
had heard from all of the campuses on their Affirmative Action and Diversity Plans, and that the 
Dartmouth campus would be coming back to the Subcommittee in the Fall with additional information 
as requested. 



-7- 



The next item on the agenda for discussion was the Report on the Investment Subcommittee which 
Trustee Haynes gave under agenda item B. 3 above. 

The next item on the agenda for discussion was the FY 1996 Operating Budget Overview . President 
Penney reminded the Committee of the complicated budget review process at the University and said 
that she is hoping to streamline the process by working with the assistance of University Budget Director 
Valerie Uber. Ms. Uber then gave a preview of the final University operating budget which will be 
brought to the Board for approval at the October Trustee meeting. Some discussion regarding federal 
financial aid and federal grants and contracts was held, along with a brief review of the plans for 
contracting a firm to do administrative redesign. There followed some discussion of the budget 
allocation to the campuses. President Penney stated that the current allocation plan is based on an 
historical calculation, and that Vice Presidents Chmura and Lenhardt are studying the best means for 
putting a real formula in place for allocating the state appropriation. 

The next item on the agenda was for information purposes, the Report on FY1995 Service Contracts 
Over $100 r 000 . In accordance with Trustee Policy, President Penney presented a listing of all consultant 
contracts over $100,000 for fiscal year 1995. These contracts were approved by the Chancellors, the 
President, and were also reviewed in the General Counsel's Office. At the Medical Center, contracts are 
approved by the Clinical Management Board. 

There was additional brief discussion regarding the Financial Indicators, particularly in regard to the 
question of how to measure quality. 

There being no further business, the meeting adjourned at 2:30 p.m. 






Elizabeth H. Tuthill Farrell 

Asst. Vice President, Board Relations 



-8- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST •BOSTON •DARTMOUTH •LOWELL •WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

_. Tuesday, October 5, 1995; 9:30 a.m. 
Board Room 
18 Tremont Street, Suite 800 
Boston, Massachusetts 

Committee and Committee Staff : Chair Spence; Trustees Andriolo, Bogan, Giblin, Karam, Okray, Reed, 
Rivera; Chair Taylor; Ms. Farrell, Assistant Vice President for Board Relations 

Committee Members Absent : Trustees Flores, Haynes, Hoff, and O'Leary, 

University Administration : President Penney; Vice President Lenhardt; General Counsel Kirby; 
Chancellors Cressy, Hogan, Lazare, MacCormack and Scott 

Chair Spence convened the meeting at 9:40 a.m. and asked for a motion to go into Executive Session 
to discuss Collective Bargaining. The motion was moved, seconded and 

VOTED: To enter into Executive Session to discuss Collective Bargaining. 

Trustees Bogan, Giblin, Karam, Okray, Reed, Rivera, and Taylor all voted for the motion as did Chair 
Spence. The time was 9:42 a.m. Chair Spence asked that Vice President Lenhardt, Director of Labor 
Relations Roy Milbury, Associate Vice President Ken Lemanski all remain for the discussion. She further 
stated that the Committee would reconvene in open session. 

The Committee reconvened in open session at 9:58 a.m. President Penney then announced that an 
agreement in principle had been reached with the unions. Further, the University, is moving forward 
with money saving initiatives from the Administrative Redesign Project. President Penney then 
proposed an innovative incentive program for the University employees to share in these expected cost 
savings. Chair Spence then asked for a motion. It was moved, seconded and 

VOTED: To recommend that the Board take the following action: 

Whereas the Board of Trustees recognizes that cost redeployments are 
necessary for the University to invest in its future in order to better serve 
the citizens of the Commonwealth; 

Whereas employees who are a key part of the process to implement such 
efforts should benefit from the successes achieved; 

Now therefore be it resolved: To establish at each campus (excluding 
Worcester) a Merit/Reclassification Pool equivalent to two percent (2%) 
of the campus payroll excluding grants and contracts as of July 1, 1997. 
In accordance with a plan recommended by the Chancellor after 
consultation with representatives of affected employee groups and 
approved by the President, such pool shall be distributed to employees 
in the form of base rate increases, effective July 1, 1997, to reward 



meritorious performance and/or to effectuate the recommendations of 
relevant studies of employee classifications. 

Chair Spence thanked President Penney for her efforts. President Penney then went on to report on 
the action plan, stating that plans for tuition and fees for FY1997 are being discussed. She reported that 
the Administrative Redesign project is underway with the consultants visiting each campus with a target 
of January, 1996 for reporting their findings to the Board. President Penney further reported that there 
would be a presentation on Information Technology next week at the Amherst campus before the 
Committee of the Whole meeting and a brief presentation at that meeting. President Penney also said 
that capital projects are ongoing and reported on a few of those projects. She said that the Senate Ways & 
Means Committee is expected to take up the capital bill soon. In response to a question regarding 
Reallocation, President Penney stated that the Board would receive information from the campuses at the 
December Committee on Academic and Student Affairs and the Board meeting. The Trustees were 
reminded that some of the aspects of reallocation do impact on collective bargaining and she is working 
with the campus Chancellors on bringing this information to the Board. 

Chair Spence then directed the Committee to the policy and action items for the consent agenda, 
Revision to the Department of Defense Exclusion List . President Penney noted that this is the pro 
forma vote taken when there are new members added to the Board, and since Trustee Michael Sentance 
was not included in the August list, the Board needs to take this vote. 

It was then moved, seconded and 

VOTED: To recommend that the Board take the following action: 

Whereas current Department of Defense Regulations contain a provision 
making it mandatory that the Chairman of the Board, the President, the 
Secretary and the designated Facility Security Officer meet the personnel 
clearance requirements established for a contractor's facility clearance; 
and 

Whereas, said Department of Defense Regulations permit the exclusion 
from the personnel clearance requirements of certain members of the 
Board of Trustees and other officers, provided that this action is recorded 
in the minutes. 

Now, therefore, be it declared that the Chairman of the Board, the 
President, the Secretary, and the designated Facility Security Officer at 
the present time do possess or will be processed for the required security 
clearance; and 

Be it resolved that in the future, when any individual enters upon any 
duties as Chairman of the Board, the President, Secretary or other person 
designated as Facility Security Officer, such individual shall immediately 
make application for the required security clearance; and 

Be it resolved further that the following members of the Board of 
Trustees and other officers shall not have, and can be effectively 
excluded from access to all classified information in the possession of the 
University and do not occupy positions that would enable them to affect 
adversely policies or practices in the performance of classified contracts 
for the Department of Defense or the User Agencies of its Industrial 
Security Program: 



-2- 



NAME TITLE 

Michael Sentence Trustee 

Chair Spence then introduced the first item on the agenda for action, the FY 1996 Operating Budg et. 
President Penney reviewed the operating budget, saying that Trustees had received the important 
highlights of the full budget. Some areas the President reviewed include revenues, which had increased 
slightly; expenditures, which had also increased but at a lower rate than revenues; and the ratio of 
employees to student enrollments which was relatively flat. The President reminded the Committee that 
the University takes a very conservative approach to budget planning, and thanked Valerie Uber, 
University Budget Director, for her efforts in this work. 

It was then moved, seconded and 

VOTED; To recommend that the Board take the following action: 

To approve the FY 1996 Operating Budget for the Amherst, Boston, 
Dartmouth, Lowell and Worcester campuses, the System Administration, 
and the Maurice Donahue Institute for Governmental Services, as 
contained in Doc. T95-092. 

Trustee Okray is noted as abstaining from the above vote. 

Some discussion was then held regarding hiring and replacement percentages from early retirements. 
Each of the Chancellors indicated that their plans for hiring will reflect a 50% dollar savings. The 
Committee stated their interest in seeing the $10 million deficit eliminated and in understanding how 
early retirement is reflected in the budget 

The next item on the agenda was the FY 1997 State Budget Request . President Penney presented the 
state budget request, indicating that the request was built around the following areas: non-personnel 
inflation; funds for strategic priorities, such as libraries, teaching and learning, financial aid and diversity 
initiatives; and the cost of 1997 wage increases. She also pointed out to the Committee that the vote 
delegates to the President the final authority to forward this request, which will be due before the next 
Board meeting. 

It was then moved, seconded and 

VOTED: To recommend that the Board take the following action: 

To approve the Budget Request Process and Guidelines (Doc. T95-093) 
which will be utilized in developing a request to the state for support in 
the next fiscal year. 

And further, 

To authorize the President to prepare and submit the FY 1997 State 
Appropriation request using approved Budget Request Guidelines and 
Principles. 

The next item on the agenda was the FY 1995 Treasurer's Report . The Committee commented on the 
very positive results reflected in the report, and thanked Treasurer Stephen Lenhardt and Associate 
Treasurer Philip Marquis for their efforts. 



VOTED: To recommend that the Board take the following action: 

To accept the FY 1995 Treasurer's Investment Report as contained in Doc. 
T95-094. 

The next item on the agenda was for discussion, FY 1997 Allocation Process/Formula . President 
Penney said the University is still working on this formula and will be able to share information with the 
Committee in the future. In regard to the Creation of Subcommittee to the Administration and Finance 
Committee , the President said that this Subcommittee would work with her to approve the final State 
Budget before it is sent out to review the recommendations on the allocation process. 

There were two informational items, the first was the Continuing Education Building Renovation 
Costs, UMASS Amherst which is a follow-up to the April Board meeting. All costs are reflected in the 
documents submitted to the Committee. The Revision to the Building Authority Project List UMASS 
Lowell was also reviewed. 

There being no further business to come before the Committee, the meeting adjourned at 10:25 a.m. 




nzaDetn m. i utnin r-arrei 
Asst Vice President, Board Relations 



(revised) 
3/26/96 

UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Tuesday, December 5, 1995; 12:30 p.m. 

Faculty Conference Room 

University of Massachusetts Medical Center 

Worcester, Massachusetts 

Committee and Committee Staff : Acting Chair Haynes; Trustees Andriolo, Bogan, Giblin, Karam, 
Okray, and Rivera; Ms. Farrell, Assistant Vice President for Board Relations 

Committee Members Absent : Trustees Flores, Hoff, O'Leary, Reed, Sentance and Spence 

University Administration : President Penney; General Counsel Kirby; Vice President Lenhardt; 
Chancellors Cressy, Hogan, Lazare, MacCormack and Scott; Ms. Wanczyk, University Controller 

Faculty Representatives : Professors Cooke, May and Phelan 

Acting Chair Haynes convened the meeting at 12:45 p.m. in the absence of Chair O'Leary. The first 
item on the agenda was the Status Report on the President's Action Plan . President Penney gave an 
overview of the Action Plan, and reported on contract negotiations with faculty and other unions noting 
that only two of the smaller unions have not yet completed negotiations. The President also reported that 
the $230 million Capital Bill had been signed and the University is also authorized to borrow through the 
Building Authority. These dollars will be used for deferred maintenance and repairs, Title IX 
commitments, and selected new construction projects. President Penney thanked Governor Weld, the 
legislature, Trustees and staff for their support and work on behalf of this program. President Penney 
also reported that the Administrative Redesign project is going well. In the area of Information 
Technology, the staff will continue to work for passage of that bill in the next session. President Penney 
then noted that the Cooperative Licensing Program has done very well, increasing revenues from $55,000 
to $400,000 under the leadership of David Curley, whom the President thanked for his work. 

The next item on the agenda for action was the FY1995 University Financial Report . President 
Penney reported an improvement in the indicators, and said that the University had an operating surplus 
for 1995 of $22 million. The President then offered special thanks to Janet Wanczyk, University 
Controller, and the five campus controllers. 

Janet Wanczyk then presented the Financial Report. She began by thanking the many people who 
worked on the financial audit, and also indicated she was informed by the auditors that the reportable 
conditions related to financial reporting will be downgraded to a less significant management finding, 
mainly due to the Board's interest in the financial condition of the University. Ms. Wanczyk identified 
two changes in the report, including an item in the executive summary regarding UMASS Dartmouth and 
the endowment-per-student information. 

Ms. Wanczyk went on to present each area of the report. Some discussion was held on the operating 
surplus trend, and some questions on use of the surplus and campus strategies relative to reserve 
accounts were discussed (including plant funds, quasi-endowment, and early retirement). The 
Committee requested that use of reserve funds be discussed again before the Committee. The Committee 



! 



C 



c 



members further encouraged the Chancellors and others to tie the information on finances and surplus 
funds to policy directives of the Board. The Trustees further reminded the administration of the 
importance of reporting when the campuses use surplus to balance the budget. Ms. Wanczyk also 
explained some of the differences between the operating budget and the financial report and the need for 
the two reports. At the conclusion of Ms. Wanczyk's presentation, Trustee Haynes thanked her for the 
excellence of the presentation, and also noted the very positive progress in the financial indicators, 
particularly the Dartmouth campus. After further discussion regarding state support per-student, the 
administration was asked to prepare information on how the dollar-per-student comparisons nationwide 
compare with the ranking of states that support higher education. Each Chancellor then presented 
his/her use of financial indicators and offered information on the results as reported and efforts across 
his/her campus that resulted in the improvements. Trustee Haynes thanked the Chancellors for their 
comments. 

It was then moved, seconded and 

VOTED; To recommend that the Board take the following action: 

To accept the FY 1995 Financial Report, as contained in Doc. T95-114. 

The next item on the agenda for discussion was the University Capital Briefing , which had been 
reviewed in the President's Action Plan comments. 

The next discussion item was the FY1997 State Budget Process . President Penney reviewed the 
information that was given to each Trustee, and outlined specifically the campus' priorities. The 
President pointed out that the difference between the University budget request and the HECC request is 
due to the fact that the University's budget includes wage increase costs. The Committee asserted the 
importance of the entire University community working together with all resources to achieve the budget 
request. A request was made to the administration for information on what was done with the new 
money in last year's budget to inform everyone who works for the budget that their efforts achieved 
results. The Committee further discussed the importance of emphasizing both quality and access in this 
year's budget request. Some information and plans for tuition and fee recommendations was also 
discussed. 

The next item informational item on the agenda was the Report on the Sub Committee on Personnel 
and Diversity . Trustee Rivera reported on the Subcommittee's November meeting, where Affirmative 
Action plans for all campuses where discussed, and the new Assistant Chancellor for Affirmative Action 
at UMASS Dartmouth made a very positive presentation on plans for that campus. Trustee Rivera also 
reported that there was some discussion of an inter-campus recruitment effort, and also some requests for 
information that were passed on to the Committee on Academic and Student Affairs. 

The next informational item on the agenda was the FY1996 First Quarter Interim Financial Report . 
President Penney reported that the report shows that everything is on target for this year's budget and in 
all projections are being watched. 

The next two items on the agenda were trustee-requested items. President Penney reported that she 
did not support the two items which were requested by Trustee Okray, and provided some background 
information on why the two motions did not have the support of the administration. 

The first of these items was the Roll Back of Parking Fee r UMASS Boston . Trustee Okray requested 
some discussion on these items, and began with the second, the Administering of Campus Center, 
UMASS Boston, noting the students' position regarding any new fees for the campus center. Chancellor 
MacCormack spoke to the issue, saying that the Boston campus' administration is prepared to present the 
Campus Center plans in February, and will address the administration of the center and other fee issues 
when all information is available. 



-2- 



' 



(° 



It was then moved, seconded and 

VOTED To table the item Administering of the Campus Center until necessary, at least until the 
February meeting. 

In regard to the Roll Back of Parking Fee r UMASS Boston, Trustee Okray spoke to the students' 
interest in having a lower parking fee. Chancellor MacCormack stated her commitment to students and 
the importance of keeping fees low, but also recognized the problem of the current fee as supporting the 
transportation system on the campus. The Chancellor further stated that she would be addressing the 
issue in the * April fee cycle. Trustee Okray then withdrew the motion. 

Further discussion regarding the usage of fees to support operations at the University and the impact 
on students. 

There being no further business, the meeting adjourned at 2:20 p.m. 

SMrhctULU &AAJUX 

Elizabeth H. Tuthill Farrell 

Asst. Vice President, Board Relations 



*N.B.: Parking fees are part of the Parking and Transportation trust funds which are annually considered 
at the June Board meeting. 



-3- 



* 



fi 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON •DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDIT COMMITTEE 

Wednesday, January 4, 1995; 8:30 a.m. 

18 Tremont Street - Suite 800 

Knapp Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Haynes; Trustees Lizana, O'Leary and Poduska; Ms. Farrell, 
Assistant Vice President for Board Relations 

University Administration : President Hooker; General Counsel Kirby; Mr. Wolcott, Director of 
Auditing; Vice Chancellors Page, Dars, MacCormack and Goodwin; Mr. Sam Stewart, Fiscal Services 
UMMC; Ms. Wanczyk, University Controller 

Guests : Mr. Ingram, Coopers & Lybrand; Mr. Elam, Ernst & Young 

Chair Haynes convened the meeting at 8:30 a.m. and introduced the first two items under External 
Audit Reports, the University of Massachusetts General Purpose Financial Audit—Reportable 
Conditions and the University of Massachusetts General Purpose Financial Audit—Management 
Letters for FY94 . Representatives from Coopers and Lybrand reported that the management letter 
reflects an improvement over previous years, and did not have extensive comments regarding the 
findings. Mr. Wolcott distributed an analyses of the management letter identifying the number of 
findings and the findings reoccurrence from 1992 through 1994 showing significant improvement. Those 
findings that have been most difficult to correct have to do with information technology. 

The Committee then heard from Mr. Robert Elam and Associates from Ernst & Young, reporting on 
UMASS Worcester, including: Worcester City Campus Corporation. FY94 Audited Financial 
Statements . Mr. Elam pointed out highlights from these statements. The Committee was then apprised 
of and discussed information included in the following management letters: Teaching Hospital 
Management Letter. Group Practice Plan Manag ement Letter. Teaching Hospital and Group Practice 
Plan Management Information Systems Management Letter. Self-Insurance Trust Management Letter. 
and Worcester City Campus Corporation Man agement Letter. Discussion regarding the complexity of 
related party transactions was held and the Committee noted the importance of these transactions. The 
Committee also discussed the importance of the accounts receivable systems, and new audit procedures; 
Ernst and Young indicated that they are communicating with the campus in order to be fully informed of 
any changes. Comments made in the letters are currently being addressed. 

Mr. Wolcott then requested that the Committee next take up the discussion item, University A-133 
Audit Status and Consideration of Future Actions . Coopers & Lybrand reported that the Single Audit 
has been completed and the state has received the pre-final version of the audit. The report shows no 
material control weaknesses, but there are a few compliance findings. Coopers indicated that the audit 
went very well from their perspective, and this was echoed by Mr. Wolcott. 

Representatives from Coopers & Lybrand and Ernst & Young then left the meeting. Discussion 
regarding future actions in the area of the State Single Audit and the A-133 Audit was continued. The 
central issue discussed was the need to decide if the University wants to continue to use the outside audit 
firm for these state audits, or return responsibility to the state. The administration and the campuses are 
pleased with how the process went and a review meeting is planned. The decision on whether to release 
a bid for the FY94 audit must be made as soon as possible. The Committee suggested that the 



administration move forward in preparing the RFP and start the bidding process, but they would like to 
see a cost-benefit analysis of the audits at the next meeting as well as have a member of the Committee on 
the audit firm search committee. 

The next item on the agenda for action was the External Audit Reports, WFCR-FM and Friends of 
WFCR. Inc. Combined Financial Statements for FY94: WFCR-FM Management Letter: WUMB-FM 
Radio Financial Statements for FY94 : WUMB-FM Radio Management Letter . Mr. Wolcott reported that 
there were no notable conditions as a result of these audits, both received unqualified opinions in the 
letters and went very well this year. 

The next audits for action were the Division of Continuing Education Audited Financial 
Statements. FY93: Division of Continuing Educati on Audited Financial Statements. FY94: Division of 
Continuing Education Management Letter for FY93 and FY94. Mr. Wolcott reminded the Committee 
that the Division of Continuing Education had requested this audit, and Vice Chancellor MacCormack 
noted that she is working closely with the Division of Continuing Education as they continue to develop 
their financial reporting practices. 

The last item on the agenda for discussion was the University Audit Status as of December 16, 1994 . 
Mr. Wolcott indicated that there are a number of projects currently underway and a long list that have yet 
to be addressed. The annual audit of the President's Office Expenditures will be complete and reported to 
the Committee at its next meeting. Now that the audit support for the Attorney General's work in 
connection with UMASS Amherst's University Health Services is nearing completion, work in the College 
of Food and Natural Resources will resume. 

The issue of separate payments to Coopers & Lybrand by the UMASS Lowell Research Activities 
Trust Fund for work included in the University's annual financial audit was discussed. Mr. Wolcott 
stated that the circumstances of the payments would be carefully reviewed to be sure that duplicate 
payments were not made. 

The meeting adjourned at 9:50 a.m. 




Elizabeth H. Tuthill Farrell 

Asst. Vice President, Board Relations 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON 'DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDIT COMMITTEE 

Wednesday, March 8, 1995; 8:30 a.m. 

18 Tremont Street - Suite 800 

Knapp Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Haynes; Trustee Poduska; Ms. Farrell, Assistant Vice President 
for Board Relations 

Committee Members Absent : Trustees Lizana and O'Leary 

University Administration : Vice President Lenhardt; General Counsel Kirby; Mr. Wolcott, Director of 
Auditing; Vice Chancellors Page, Dars, MacCormack and Goodwin; Ms. Wanc2yk, University Controller 

Guests : Mr. Gabranski , Mr. McBride and Ms. Doirok, Coopers & Lybrand 

Chair Haynes convened the meeting at 8:40 a.m. Vice President Lenhardt began by informing the 
Committee of the status of the Study of the Redesign of Administrative Functions, part of the President's 
Action Plan. Trustees Giblin and O'Leary are both on the committee that will review this activity. Vice 
President Lenhardt noted that the RFP is to be sent out this week, and that the timeline will allow 9 to 12 
months for assessing the administration. Vice President Lenhardt then listed the consulting groups that 
have, to date, been identified as potential proposers. 

Chair Haynes then introduced the first item under External Audit Reports, the University of 
Massachusetts Report on Federal Financial Assistance Programs in Accor dance with OMB Circular A- 
133, FY1994. Mr. Wolcott and Mr. Gabranski stated that the results of this audit, the first time it has been 
conducted internally, were really very good. Mr. Gabranski further noted that the C&L comments are in 
the area of housekeeping versus substantive issues for concern. Discussion regarding certain reportable 
conditions and control objectives, particularly in regards to EduServe, was held and the Committee was 
satisfied by Mr. Gabranski's explanations that these are areas of concern to every higher education 
institution. Mr. Gabranski stated in response to an inquiry that the reportable conditions noted last year 
have been satisfactorily addressed, and that though there are a few new findings, some procedures have 
already been put in place. Mr. Gabranski further indicated that there are some changes in cost accounting 
standards at large institutions that will impact UMASS. Though some of these changes were effective 
1/95, others will be phased in according to certain expiration dates of various grants and contracts. He 
and Mr. Wolcott plan to meet with the Vice Chancellors for Administration and Finance to review these 
changes in the standards and disclosure regulations as well as plan for the FY95 University and A-133 
audits. 

The next item under External Audit Reports was A greed-Upon Procedures Letter, Department of 
Athletics and Intramurals (NCAA), FY1994 . UMASS Amherst: and Agreed-Upon Procedures Letter, 
Accounting Records of the University and Related Booster Organizations . Mr. Wolcott indicated that 
both audits were conducted without controversy. Vice Chancellor Page further noted that the changes in 
control mechanisms, particularly relating to booster organizations, have greatly improved the previous 
audit conditions. Vice Chancellor Page did note that these changes which include the involvement of the 
UMASS Foundation may necessitate a discussion regarding activities that are run through Foundation 
accounts. Mr. Wolcott also added that there will be a need for increased reporting in the area of gender 
requirements and that the Amherst campus will undergo a compliance review in FY96 or FY97. 



It was then moved, seconded and 

VOTED : To recommend that the Board approve the following audits on its Consent 

Agenda: 

• External Audit Reports 

University of Massachusetts Report on Federal Financial Assistance Programs 
in Accordance with OMB Circular A-133, FY1994, UMASS, by Coopers & 
Lybrand (Doc. T95-035) 

Agreed-Upon Procedures Letter, Department of Athletics and Intramurals 
(NCAA), FY1994, UMASS Amherst, by KPMG Peat Marwick (Doc. T95-036) 

Agreed-Upon Procedures Letter, Accounting Records of the University and 
Related Booster Organizations (NCAA), FY1994, UMASS Amherst by KPMG, 
Peat Marwick (Doc. T95-037) 

The next item on the agenda was University of Massachusetts Financial Trend Analysis and Peer 
Comparison, FY1994 . Mr. Gabranski reported on the highlights in this report, much of which was 
compiled for information gathered by the University Controller's office. Mr. Gabranski indicated that 
most of the trends are consistent with peers, and much of the discussion revolved around the problem of 
comparing UMASS with other systems (particularly California) and the need for comparative data on 
public universities, not including other state supported institutions. One area which prompted 
discussion was expendable fund balances as a percentage of unrestricted expenditures and mandatory 
transfer. Mr. Gabranski pointed out that where peer systems generated operating surpluses, over FY92, 
93 and 94, UMASS significantly decreased in this area. Vice President Lenhardt pointed out the 
importance of this type of information as the administration strives to establish financial indicators in 
accordance with previous action taken by this Committee. The Vice Chancellors commented on the 
importance of connecting the various policy decisions in order to appropriately connect them and 
anticipate the impact that one decision may have on another. Ms. Wanczyk stated that she had met with 
all of the Vice Chancellors and indicated that all are working aggressively to improve the ratios and 
continue to bring reporting and procedures into updated formats. Ms. Wanczyk further noted that much 
of the revision of reporting and accounting that her office has facilitated is based on changes that the 
University hospital had implemented in the last few years, and she hopes to continue to learn from their 
practices. 

Chair Haynes then shared with the Committee a letter from Mr. Kilmartin congratulating the 
University on its demonstrated ability to provide information as necessary to various inquiries. 

Mr. Wolcott then gave an update on University Audit Status as of February 17, 1995 . He first noted 
that there had been an arrest in the case of the Student Health Services fraud and as more information is 
available, particularly as the University may be able to recoup some of the losses, the Committee will be 
informed. Other audits are being carried out on schedule as was noted in the materials. Chair Haynes 
inquired about the hiring of another auditor to assist in the long list of priority projects, and Mr. Wolcott 
said that he had lost potential candidates to other positions, and hopes to have someone hired in the near 
future. 



The meeting adjourned at 9:40 a.m. 



Eliz&eth H. Tuthill Farrell 

Asst. Vice President, Board Relations 



-2- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST •BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDIT COMMITTEE 

Tuesday, July 18, 1995; 8:30 a.m. 

Board Room 

University of Massachusetts President's Office 

Boston, Massachusetts 



Committee and Committee Staff : Chair Haynes and Trustee Rivera; Ms. Farrell, Asst. VP, Board 
Relations 

Committee Members Absent : Trustees O'Leary and Poduska 

University Administration : President Penney; Vice President Lenhardt; General Counsel Kirby; 
Chancellor MacCormack; Vice Chancellors Babcock, Goodwin and Page; Deputy Chancellor Stanton; 
UMASS Dartmouth Comptroller Susan Sullivan; Senior Director for Auditing and Fiscal Affairs, Mr. 
Wolcott 

Chair Haynes convened the meeting at 8:30 a.m. Mr. Wolcott noted that the presentation by Coopers 
& Lybrand was inadvertently left off the agenda, and asked that their presentation be placed on the 
agenda following the action items. 

The first item on the agenda for action was the President's Office Expenditures Report, FY94 . Mr. 
Wolcott noted that the report is only on expenditures from the President's Office in Boston and does not 
include Central Administrative Services. He reported that this audit includes a few minor comments 
from the audit department and identified corrections from the prior year, and notes no continuing 
patterns other than processing errors. In regard to spousal travel and reimbursement policies, the 
Committee was informed that President Penney and the Chancellors had agreed that the current policy 
which is very restrictive is suitable and acceptable to them, and all members of the administration are 
satisfied with that policy. Any confusion in the past has had to do with taxable income issues which may 
now be handled by the University's tax specialist if necessary. Mr. Wolcott reported that the only other 
issues of focus have to do with efficiencies and progress has been made. The Committee also discussed 
the current Travel Policy which is satisfactory. It was then moved, seconded and 

VOTED: To recommend that the Board accept the following Audit Report on the Board Consent 
Agenda: 

President's Office Expenditures Report, FY94 (Doc. T95-077) 

The next item for action was the External Auditor Engagement, UMASS Amherst . Mr. Wolcott 
reported that this request is the result of activities in the area of the Student Supplemental Health Plan in 
connection with the criminal investigation and indictments of the previous plan administrator, Summers 
Kitchen and Essler. He stated that it is the University Auditor's recommendation that the University 
conduct a complete audit of the new benefit administrator which will ultimately benefit the campus in its 
choice of a longer term administrator by helping to identify outcomes from the prior administrator and 
any areas of trouble or concern for the future. They are asking for a sole-source contract because of the 
short amount of time available, and the desirability of an office in Salt Lake City where the current plan 
administrator is located. The current plan administrator is under contract through FY96. The Committee 
then had a discussion regarding the previous plan administrator and the contract that they operated 



under; it was discussed that the University may require bonding on a future contract. It is not expected 
that the University will recover any of the $607,000 (which was estimated in the indictment) that was 
allegedly embezzled from the University. The Committee further discussed the length of the contracts 
that are entered into for the purpose of the plan administration, and it was reported that the contracts 
would be for three-year terms with two one-year options to renew. It was then moved, seconded and 

VOTED; To recommend that the Board take the following action on the Board Consent Agenda: 

To authorize the University Senior Director for Auditing and Fiscal Affairs to engage the 
firm of KPMG Peat Marwick as the independent external auditor for an audit of the plan 
administration of the Student Supplemental Health Benefits Plan, UMASS Amherst, for 
the plan year ending August 31, 1995. 

And further, 

To approve charging the cost of the audit to the campus. 

The next item which was not listed on the agenda was a Presentation by Coopers & Lybrand: Audit 
Scope and Approach, 1995 . John Gabranski and George IngTam then presented information which they 
also distributed. Mr. Gabranski noted that the audit approach and focus is consistent with prior years 
and also indicated that they plan to have the financial statements and reports ready for the 
November/December Committee and Board meetings. The following areas of audit focus were 
reviewed: grants and contracts; plant fund; accrued liabilities; and cash and other operating expenses. 
Mr. Gabranski noted that there is still room for more consistency among the campuses in the area of 
inventory procedures, systems, reporting, etc., and suggested that more administrative groups meet to 
consider policies that will bring campuses into a more consistent reporting format. Some discussion 
regarding state regulations on accounting and reporting versus the university policies for control and 
auditing followed. Various groups in the University will meet to discuss this issue. 

Extensive discussion regarding the changes in the College and University Financial Reporting Model, 
particularly in the area of budgetary information was held. The Committee was also led in a discussion 
of the Financial Reporting Entity-Affiliated Organizations by Mr. Gabranski, particularly in regard to 
implications for the Worcester City Campus Corporation. Mr. Gabranski reported that the final statement 
on these will come out and would impact the University in FY96. Mr. Gabranski also presented 
information on not-for-profit accounting and financial reporting principles by governmental entities. 

Mr. Ingram then presented an update on the OMB Circular A-133 Audit, noting that the same team is 
in place this year as last. He reported that in regard to the approach, the first four steps are complete, and 
they should have a review report to the Audit Committee in November. One area that Mr. Ingram 
reported on that will be focused on is the question of "what constitutes a major program" and this will be 
monitored for compliance. 

Mr. Gabranski then presented updates on emerging issues, including Cost Accounting Standards 
Board, OMB Circular A -21, OMB Circular A-133, and Governmental Auditing Standards. In regard to the 
Cost Accounting Standards Board, the controller is working with the campuses to determine changes in 
accounting standards based on federal contracts over $500,000. On Governmental Auditing Standards, 
Mr. Gabranski stated that this information is mainly for clarification and additional guidance on auditing 
systems and documentation. Mr. Gabranski also reported on the Federal Assistance Programs in: 
financial reporting, yellow book reporting, and A-133 reporting. Coopers & Lybrand then concluded 
their report to the Committee. 



The next item on the agenda was Information Items, the first was The Committee of Sponsoring 
Organizations of the Treadway Commission (COSQ and The Institute of Internal Auditors Control 
Questions . Chair Haynes requested that the supporting material be sent to the Board of Trustees for their 
information. 

The final item on the agenda was the University Auditor's Office Status Report as of June 30, 1995 . 
Mr. Wolcott indicated that his office is working on the above-mentioned Student Supplemental Health 
Plan Benefit Administrator criminal indictment and external audit. There is also extensive audit work 
currently taking place at both UMASS Dartmouth in the Building Authority, UMASS Amherst in several 
areas, and at UMASS Lowell in the area of Student Supplemental Health benefits administration. Mr. 
Wolcott also stated that there are plans to look at the Student Affairs Operations at UMASS Amherst, 
primarily the overall level of administration and financial controls of Registered Student Organizations. 
Mr. Wolcott was further assured that funding would be made available for the hiring of an additional 
auditor. 

Chair Haynes indicated that there was a concern on the part of the Board regarding the cash flow 
conversion at the Medical Center and Deputy Chancellor Stanton stated that the Commonwealth advance 
funding through Medicaid and there have not been any problems in that area. 

Chair Haynes then made a motion to enter into Executive Session to discuss draft audits and charges 
of misconduct. It was moved, seconded and 

VOTED To enter into Executive Session for the purpose of discussing draft audits. 

Chair Haynes voted for the motion as did Trustee Rivera. Chair Haynes stated that the Committee 
would not reconvene in open session. The time was 9:50 a.m. 



liKabeth H. Tuthilf 



arrell 



Asst. Vice President, Board Relations 



-3- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDITCOMMITTEE 

Wednesday, November 8, 1995; 8:30 a.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Giblin; Trustee Haynes; Ms. DeVico, Staff Assistant 

Committee Members Absent : Trustees Naughton, O'Leary, Poduska and Rivera 

University Administration : President Penney; Associate Counsel Bench; Vice President 
Lenhardt; Vice Chancellors Page, Babcock, Dars and Goodwin; Deputy Chancellor Stanton; Ms. 
Wanczyk, University Controller; Mr. Wolcott, Senior Director for Auditing and Fiscal Affairs 

Guests: Coopers & Lybrand: Mr. Gabranski, Mr. McBride and Mr. Ingram; Ms. Doiron; Ernst & 
Young: Mr. Elam and Mr. O'Hare 

Chair Giblin convened the meeting at 8:35 a.m. President Penney welcomed Trustee Giblin 
to his first Audit Committee meeting as Chair and thanked Trustee Haynes for his work as the 
previous chair. 

The first item for discussion was the FY1995 Financial Statements, UMASS Worcester 
Clinical System (Teaching Hospital, Group Practice Plan and Self Insurance Trust) . Mr. Robert 
Elam from Ernst & Young reported that the Clinical Services Division included the Teaching 
Hospital Trust Fund, the Group Practice Plan and the Self Insurance Trust, all formerly reported 
separately. Mr. Elam than reviewed the contents of the firm's "Required Communications with 
Audit Committee of the Board of Trustee'' letter. The letter covers significant matters including 
scope, auditor's responsibility, accounting policies and estimates, disagreements with 
management and other difficulties. Mr. Elam stated that there were no scope limitations, 
inappropriate accounting policies or procedures, disagreements with management or other 
difficulties. 

Mr. Elam then discussed highlights from the Combined Financial Statements including the 
favorable results from operations, significant income statement and balance sheet accounts and 
the adequacy of reserves. He also mentioned that the Patient Accounting System conversion 
from one software package to another had gone exceptionally well, with no discernible impact 
on revenue or operations. Deputy Chancellor Stanton pointed out that the Clinical Services 
Division had devoted substantial resources, personnel and money, to ensure a smooth conversion. 

The Committee then heard from Mr. John Gabranski from Coopers & Lybrand reporting on 
the Combined Financial Statements of the University of Massachusetts for the year ended June 
30, 1995 . He explained that the University's financial statements are presented on the accrual 
basis of accounting utilizing generally accepted principles applicable to state and local 
government entities (GASB). 

Mr. Gabranski then distributed his firm's required communications letters, "Matters to 
Assist the Audit Committee in Overseeing the Financial Reporting Process'' and a "Financial 
Statistics and Tends Summary" to the Committee. He then discussed the letter, pointing out 



there were no scope limitations, inappropriate accounting policies or procedures, disagreements 
with management or other difficulties. He did review significant accounting policies and other 
factors relative to the University's Financial Report. 

Some of the highlights of this report included 1) Worker's Compensation: The 
Commonwealth has assessed the University for the actuarially-computed expected future 
payment costs of its workers' compensation incidents which have occurred. The University- 
wide undiscounted estimate of such liability ranges from $27.5 to $32.7 million. The liability 
recorded by the University was the mid point of such liability, discounted utilizing an interest 
rate of 6%, or $22.4 million; 2) Sick Leave Benefits: Upon retirement, the University pays 
retirees a portion of their unused sick leave benefits. The actuarially-computed liability of 
$17.7 million for the expected future payment costs of retiree unused sick leave was $8.6 million 
lower than the amount recorded at June 30, 1994 since the 1994 liability did not consider 
turnover. 

There was then a discussion regarding financial statistics and trends including Cash and 
Investments for the campuses and the Central Administration and the amount of operating 
surplus for the year ending on June 30. 

After a general discussion, it was pointed out that the Administrative Redesign firm, 
Pappas Consulting Group/ KPMG Peat Marwick is looking at the entire University financial 
system. 

Ms. Wanczyk then reported on the Annual Financial Report which had been sent out to 
members of the Committee in Draft form, it is expected that the final report will be sent to the 
Committee on Administration and Finance for final approval at the December meeting. 

Mr. Wolcott then reported on the Major Hospital Ancillary Departments Operational 
Survey, Financial Draft, UMASS Worcester . He pointed out that the work was not a detailed 
audit but was an extensive review of major operating areas of the Teaching Hospital. The 
review, a major project for the department, focused on operating and management controls in the 
areas and was useful in identifying areas for improvement. Mr. Wolcott stated that 
management, throughout the process, was very receptive and cooperative and implemented 
needed changes as soon as possible. 

Deputy Chancellor Stanton commented positively on the project and stated that the 
remaining unresolved issues were primarily systems issues and would be addressed by the 
various PACSS (Program to Achieve Clinical System Superiority) workgroups responsible for 
the functions, in addition, the report had been extensively discussed at the last Clinical 
Management Board meeting. 

The next item was the Toint Degree Program Review, Hotel, Restaurant and Travel 
Administration Department, UMASS Amherst . Mr. Wolcott pointed out that this audit had 
been requested by program management on the campus. He noted that a number of deficiencies 
related to the administration of the contract had been reported and corrective actions 
identified and agreed to by program management. 

Vice Chancellor Page then pointed out that the program would be canceled by the end of 
the fiscal year in light of the audit findings and the program's enrollment. 

Mr. Wolcott then discussed the Annual Audit Plan, FY1996, FY1997 and FY1998, University 
Auditor's Office . He explained that the plan was designed to provide the maximum audit 
coverage for the University with current and anticipated staffing. He did state that unplanned 
events, such as lengthy investigations, could negatively impact the plan. 



It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Audit Reports on the Board 
Consent Agenda: 

FY1995 Financial Statements, UMASS Worcester Clinical System (Teaching 
Hospital, Group Practice Plan and Self Insurance Trust) (Doc. T95-110) 

Major Hospital Ancillary Departments Operational Survey, Final Draft, 
UMASS Worcester (Doc. T95-106) 

Joint Degree Program Review, Hotel, Restaurant and Travel Administration 
Department, UMASS Amherst (Doc. T95-107) 

Annual Audit Plan, FY1996, FY1997 and FY1998, University Auditor's Office 
(Doc. T95-108) 

Mr. Wolcott then gave a Status Report on the University Auditor's Office as of October 20, 
1995 . Some of the highlights included descriptions of work being conducted and reports issued 
by other audit agencies such as the State Auditors Office and the Office of Naval Research at 
several campuses. 

President Penney asked about certain aspects of a State Auditor's draft report dealing with 
equipment inventories. Vice Chancellor Goodwin then pointed out that some reported results 
could be distorted due to the sampling approach used by the State Auditor's staff. 

There was then a discussion of the next General Purpose Financial Audit and A-133 
Compliance Audit; the contract with Coopers and Lybrand expires with the completion of the 
FY95 audit work. It was decided that Chair Giblin would become a member of the selection 
committee that will come back to this Committee with a recommended audit firm. 

Mr. Wolcott then continued his discussion of the Auditor's Office operations summarizing 
audit activities throughout the University. 

Trustee Haynes inquired as to the status of hiring an additional auditor. Mr. Wolcott said 
that interviews with finalists were being scheduled and the process should be complete within 
two weeks. 

With Trustee Haynes' departure, Chair Giblin called for an executive session to discuss 
charges of misconduct. 

It was moved and 

VOTED : To enter into Executive Session for the purpose of discussing charges of 
misconduct. 



Chair Giblin voted for the motion and stated that the Committee would not reconvene in 



open session. The time was 10:05 a.m. 





Whom- 

Barbara DeVico 
Staff Assistant 




AAA) 



-3- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • B OSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ATHLETICS 

Tuesday, January 17, 1995; 4:30 p.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Lewenberg, Trustees Andriolo and Taylor; Assistant 
Vice President Farrell 

Committee Members Absent : Trustee Bogan, Foley, Karam and O'Leary 

Other Trustees : Trustee Giblin 

University Administration : President Hooker; Chancellors Hogan and Scott; General Counsel 
Kirby; Athletic Directors Dowd, Edwards and Titus; Associate Athletic Director Sortino; Mr. 
Chesloff, Assistant to the President 

Guests: John Feudo, Alumni Relations, UMASS Amherst 

Chair Lewenberg convened the meeting at 4:40 p.m. The first item for discussion was the 
NCAA Convention . The major issue at the convention this year was standards for academic 
qualification of freshmen student athletes. Associate Athletic Director Sortino indicated that it is 
still unclear as to what the relationship between number of courses, high school GPA and SAT 
scores will be and is under study at the NCAA. Each athletic director identified the issues that 
most impact them that were decided at the convention, and in light of the continued discussions 
regarding restructuring at the NCAA, all agree on the importance of the UMASS voice as a multi- 
divisional group of institutions. There was further discussion regarding the complicated role that 
the compliance officers on each campus play; there are regional seminars for compliance officers, 
and compliance teams from the NCAA who assess the procedures for compliance at an 
institution at no cost. Chair Lewenberg stressed the importance of the role that the compliance 
officer plays, and noted that the commitment to supporting the compliance officer reveals an 
institution's commitment to its student athletes and its athletic program. 

The next item on the agenda was a discussion of the Lowell Arena . Chair Lewenberg 
reported that the Task Force on the arena had a meeting on January 16, 1995 with the Mayor and 
City Planner of the City of Lowell. Mr. Lewenberg, Trustee Andriolo, Chancellor Hogan and 
Vice President Kirby indicated that the discussions were very positive and the city also sees the 
importance of building a relationships with UMASS Lowell for a successful revitalization of the 
city. The funds have still not been released to the city for an arena, and the campus still plans to 
borrow funds for the building of a student center in the area of the campus' dormitories. Further, 
they reported that the city was agreeable on the issue of a smaller (possibly 6,000 seat) arena, and 
the general feeling is that there have been positive moves in the right direction for collaboration. 

The next item for discussion was the subject of Academics and Athletics, UMASS Amherst . 
Chancellor Scott distributed information that he also presented covering the following areas: 
Admissions Policy; Academic Support— staffing, services, academic achievements, study halls, 
tutoring, advising and career counseling, involvement of professors; Admissions and Graduation 
Statistics; and College and Major enrollments. Chancellor Scott provided a more focused part of 



his presentation on the Basketball Players: Distribution of Majors; Careers; Graduation 
Comparisons; High School Prep, comparison; Sports Management Program courses of study and 
graduates; and Future Plans for the athletic department. Chancellor Scott indicated that a review 
of the athletic department will be a part of the campus' next steps in the strategic planning 
process. Chair Taylor and Trustee Lewenberg complimented the Chancellor on his presentation, 
noting the importance of addressing the very issues that were covered in his presentation. They 
further encouraged the Chancellor to consider sharing the presentation with the outside 
community. As Chair of the Athletic Committee, Trustee Lewenberg commended the 
Chancellor's efforts as follow-up to the Trustee direction regarding the seriousness of academics 
and athletics. 

Under Other Business, the last item for discussion was the Trophy Cup , John Feudo, 
Director of Alumni Relations at UMASS Amherst provided the Committee with the history of the 
idea that the Trophy Cup would be a joint support effort of the Alumni Clubs of UMASS Lowell 
and UMASS Amherst. They would each donate $1500 each year: $100 each toward the trophy; 
$400 each toward a post-game reception; and the remainder of the funds would be donated to 
each institution, either a general donation or to a specific department or scholarship. Ms. Sortino 
voiced the concern of Coach Mallen at UMASS Amherst who would like the trophy competition 
to begin in the 1996-97 season. The Committee agreed that at the conclusion of this year's series 
between the two teams, an announcement of the plans would be made, and the trophy would be 
awarded for the first time at the end of the 1995-96 season. Mr. Feudo informed the Committee 
that he is still waiting for confirmation from the UMASS Lowell Alumni Director, but all 
indicators point to great excitement at both institutions. This issue will be brought back to the 
Committee as the plans progress. 



The meeting was adjourned at 6:30 p.m. 



Elizabeth H. Tuthill Farrell 

Assistant Vice President, Board Relations 



-2- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ATHLETICS 

Monday, August 7, 1995; 4:30 p.m. 

Durgin Hall, Fisher Recital Hall 

South Campus 

University of Massachusetts 

Lowell, Massachusetts 

Committee and Committee Staff : Chair Lewenberg, Trustees Andriolo and O'Leary; Ms. Farrell 
Assistant Vice President for Board Relations 

Committee Members Absent : Trustee Bogan, Foley, and Karam 

University Administration : President Penney, Vice President Lenhardt; General Counsel Kirby; 
Chancellor Hogan, and Vice Chancellor Goodwin; Mr. Skinner, Acting Athletic Director 

Guests : Mr. Ray Lopez, Gilbane Construction; Mr. Bill Taupier, City of Lowell 

Chair Lewenberg convened the meeting at 8:40 a.m. The first item for discussion and action 
was the Lowell Arena . Chair Lewenberg asked Chancellor Hogan to update the Committee on 
activities surrounding the proposed arena in Lowell. Chancellor Hogan then reported that bids 
had been received by the City and they were significantly higher than estimated; he stated that 
the campus continues to have its stipulations regarding the schedule of activities at the arena, 
locker and office space, and ice time for the hockey and intramural programs, but that the design 
of the arena will be reviewed and redone because of the high bids that were received. The 
Chancellor went on to outline the means be which the campus will provide the $4 million to the 
arena project, which will come out of debt service funds. 

Discussion was then held regarding the redesign of the arena, and the Committee was 
informed that the basic redesign would call for excluding the practice shed from the initial 
construction, and a reduction of the some of the amenities (office and meeting space). The 
redesign will delay the opening of the arena to the Fall of 1997. Further discussion was held 
regarding the entire financing of the arena, wherein the City and the University provides $4 
million and $20 million is provided by the Commonwealth. Chancellor Hogan further reminded 
the Committee of other development projects, including campus redesign plans based on the Bok 
Study (student center, baseball field, Wannalancit and the Geriatric Center) and the city planned 
enhancement by the park service along the river canals. 

The Committee then heard from Mr. Taupier, who reiterated the importance of the project, 
and the current thinking by the city regarding the redesign of the building in order to lower the 
cost of construction. Some discussion then followed regarding the practice rink and its 
importance to the University's hockey program and for the upkeep and long-life of the arena's 
main ice sheet. The Committee was informed that plans would be drawn into the current 
construction site for the practice rink to be constructed in the future. Mr. Lopez went on to 
review some of the areas where the bids went over the estimate, mainly being the result of 
including too much space. Mr. Lopez also said that he would be meeting with architects and all 
users to finalize construction plans this week. He further stated that the refrigeration plan would 
take into consideration a second future ice sheet. Mr. Lopez went on to describe the timeline: the 



redesign complete in two months, the receipt and award of bids before Christmas, and 
construction starting in Spring 1996, completing in July /August 1997. 

Mr. Skinner then reviewed the needs of the athletic programs for the arena, and reminded the 
Committee that the University had not intended to use the previously proposed practice sheet. 
Mr. Skinner went on to say that the athletic department continues to negotiate from the 
perspective of having virtually the same programmatic options at the new arena as they had in 
the Tulley Forum. The Committee was told by Mr. Skinner that there are not currently any 
private donations being offered in support of the building's construction. He further stated that 
the University would be the sole recipient of all apparel and novelty sales, all ticket revenues, and 
would receive 15% of the food revenues. 

Some further discussion was held regarding the financial arrangements for the project, 
including the responsibility for any deficit. The Committee was told that any deficit would be the 
liability of the general fund of the city of Lowell, which was agreed to by the Division of Capital 
Planning and Operations (DCPO). 

Trustee O'Leary then asked that the Committee be provided more information including a 
five-year feasibility and operating analysis, and financial plans for the arena from the city. He 
stated his full support of the project, and the importance of presenting this information as a 
package to the full Board of Trustees. Trustee O'Leary further stated that he would like to have 
this information, particularly the redesign plans, before voting to release the University's money 
for the project. Mr. Taupier and Mr. Gilbane reiterated the importance of sending a strong 
positive message to the city about the University's commitment to the project. Chair Lewenberg 
then asked General Counsel Kirby to construct a motion that positively characterizes the 
University's commitment to the project predicated on the receipt of additional information. 

It was then moved, seconded and 

VOTED ; To recommend that the Board authorize the President or the President's 

designee to continue negotiations with the City of Lowell on a redesign of an 
arena for use (through a lease) by the University of Massachusetts Lowell, 
provided further that the President shall authorize the Chancellor of the Lowell 
campus to encumber funds on campus to be made available to fund the project 
in the amount of four million dollars over the next two years, provided that 
final commitment of the funding shall be subject to approval by the Board of 
Trustees. 

Trustee Andriolo then inquired about employment for students at the new arena, as the 
Tulley Forum had historically provided opportunities for students; Mr. Taupier replied that the 
city would certainly make considerations for employment for students at the arena. The 
Committee then briefly discussed future plans for the Tulley Forum which would be declared 
surplus by the Board. President Penney then asked that Chancellor Hogan design a color-coded 
presentation that would assist the Board in its understanding of the location of the various 
developments and construction projects on campus. 

Under Other Business. Chair Lewenberg informed the Committee that the Chancellor of the 
Amherst campus was currently negotiating the terms of Basketball Coach John Calipari's 
contract. He stated that he, President Penney, and General Counsel Kirby were all involved in 
the discussion of the contracts terms, and noted that they hope to complete the negotiations very 
soon. Chair Lewenberg further told the Committee that Mr. Calipari wants to stay at UMASS 
and the contract under discussion is a ten-year contract. 



-2- 



Mr. Skinner then asked about monetary support for the campus memberships in the Center 
for the Study of Sport in Society. President Penney responded that it would be discussed with 
the Chancellors. The Committee was also informed from Mr. Skinner that UML Hockey Coach 
Crowder was aware of the changes in conditions for the arena and reassessment of the terms. 

The meeting was adjourned at 9:55 a.m. 




Elizabeth H. Tuthill Farrell 

Assistant Vice President, Board Relations 



-3- 



(Revised 2/5/96) 

UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ATHLETICS 

Tuesday, November 7, 1995; 4:30 p.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Bogan; Ms. DeVico, Staff Assistant 

Committee Members Absent : Trustees Foley, Karam, Lewenberg and O'Leary 

University Administration : President Penney; General Counsel Kirby; Mr. Chesloff, Assistant 
to the President; Athletic Directors Marcum, Titus, Dowd and Skinner 

Chair Bogan convened the meeting at 4:35 p.m. President Penney began by welcoming 
Trustee Bogan as the new Chair of the Committee on Athletics and thanking Trustee Lewenberg 
for all his work as the previous chair. She then congratulated each of the athletic directors for 
their commitments to excellence in academics, athletics, sportsmanship, gender equity and in 
community outreach. 

President Penney then went on to highlight some of the campus' successes including: the 
Title IX compliance activity at UMASS Amherst and the run in last year's NCAA men's 
basketball tournament; the National Youth Sports Program at UMASS Boston where, for five 
weeks, 400 inner-city youths per day are offered programs in sports activities, drug education, 
enrichment and computers; the Women's Cross Country Team at Dartmouth which received the 
1994-95 NCAA Division III Cross Country Coaches Association's Women's Academic All 
American Award, with its overall grade point average of 3.4; and the Life Skills Program at 
UMASS Lowell helping to prepare student/athletes for life after school. 

Chair Bogan then introduced the first two items, Presentation of Annual Reports and 
Update and Overview of Campus Title IX Activity . Each athletic director then reviewed 
particular aspects of their reports. 

Due to the fact that Mr. Titus from the Boston campus had other commitments, he was 
asked to give the Boston campus report first. He spoke of the successful opening of the Beacon 
Fitness Center serving between 325-350 students and staff a day. He then updated the 
Committee about Title IX activity on the Boston campus. Since Fall of 1994 the number of 
women's varsity sports has increased by two: women's tennis and women's soccer are now varsity 
sports. He then expressed the area that still needs work, i.e., facility accommodations. He 
was hopeful that by the end of November, there will be word from the Legislature on gender 
equity money and he can begin to address needed locker room renovation. 

President Penney then announced that the Conference Committee has been appointed on the 
capital bill. As part of the NCAA report, Mr. Titus reported that the Men's Basketball Team 



held a community practice for 200 youths; on December of 1994 the team also visited the 
Children's ward of Boston City Hospital with toys for the youths and in March of this past 
year, fourth graders from the St. Joseph's School visited the Clark Center for Career Day 
where they were introduced to a variety of careers in higher education. 

Mr. Lemanski, Associate Vice President for Government Relations was then asked to give an 
update on legislation for the multi-campus Title IX funding request. The Capital Bill is 
presently before a Conference Committee of the House and Senate. There are differences 
between the House and Senate versions and the Conference Committee is set up to resolve those 
differences. The House and Senate have both agreed to fund the Title IX needs at the Amherst 
and Boston campuses; at Dartmouth and Lowell the amounts are in dispute. The Conference 
Committee is trying to work these differences out. The legislative session ends on November 15. 

Mr. Marcum then spoke of the Amherst annual report. First he pointed out that 
academically the campus has achieved a great deal; there were more student athletes on the 
commissioner's list with academic honors in the Atlantic 10 than any other institution. 
Overall, the athletic teams were outstanding and won the Commissioner's Cup for overall 
performance in the Atlantic 10 for athletic excellence. 

Chair Bogan then mentioned the positive academic performance of the Men's Basketball 
team. 

Mr. Marcum then reported on the Title IX activity and pointed out the Amherst campus has 
made tremendous progress through the help of the University Administration. The campus is 
just a few percentage points off in scholarship funding and the male/female participation ratio 
clearly reflects institutional enrollment. 

Mr. Dowd from the Dartmouth campus reported that Ann Marie from the Women's Soccer 
team was awarded a $5000 NCAA Postgraduate scholarship. In the area of Title IX , the last 
women's sport added was soccer . The goal now is to encourage more participation. 

Mr. Skinner from the Lowell campus then gave his report. He first reported on the Life 
Skills Program helping to recruit and retain students involved in athletics. He then spoke of 
Michelle Roy, an assistant volleyball coach at UMASS Lowell and a 1992 graduate. He spoke 
of her love for sports through difficult times and her determination to succeed. She was able to 
win a scholarship and became an New England Collegiate Conference All Star in volleyball. 
She served two years in the Navy and was accepted into nursing school. 

He also spoke of another student who had a hard time in school but excelled in track. She 
withdrew from school due to a lack of funds but was reinstated with some help from the 
administration and went on to graduate with a 2.8 in Sociology and was recently elected as the 
top female athlete of the school. These cases highlight the importance sports can play in a 
person's life and the thousands that will benefit from their participation. 

Mr. Skinner also commented that a committee of students and staff developed a first 
Alcohol, Drug and Tobacco Education Policy Program to help students deal with these issues. 

Regarding Title IX, Men's swimming was eliminated last year; women's soccer was added. 

Chair Bogan and President Penney asked that Mr. Skinner send those success stories out to 
the other campuses. 



-2- 



It was then agreed that the campuses were all pleased with their membership of the 
Center for the Study of Sport in Society/National Consortium for Academic and Sports . 

Mr. Marcum then spoke of the NCAA Self-Study which must be completed prior to June 20, 
1996. Once all the data is gathered (including interviews with University administrators and 
student-athletes) a draft will be issued for review. The final study will be forwarded to the 
Office of the Vice Chancellor for Student Affairs. 

Chancellor Hogan then updated the Committee with the progress of the Lowell Arena . He 
displayed a map to show where the arena will be located. A Commission has been put together 
by legislation to oversee the construction. The Inspector General has now raised an issue with 
the procedures used by the City Manager for design/build. It is a procedural issue and the new 
City Manager has suspended all work until the Inspector General agrees that the steps to be 
taken from this point forward are to his satisfaction. 

The Alumni Cup was then discussed. Last year it was decided that UMASS Amherst and 
UMASS Lowell would compete annually for the UMASS Alumni Cup which will be awarded to 
the men's Hockey team which wins the best of three series in Hockey East Competition. Mr. 
Chesloff conveyed that the Alumni Associations of the two campuses will sponsor the Cup and 
the reception to take place February 10th at the Mullins Center. 

The next item was the Division 1A Task Force. UMASS Amherst. Chancellor Scott 
reported that the report of the Division 1A task force was nearing completion. This task force 
has been studying the feasibility of implementing Division 1A football at the Amherst campus. 
The task force has been working for a year divided up by subcommittees. A final report is 
expected to be ready in mid-January. It was pointed out that this decision will be based in part 
on what conference possibilities exist. Once the report is complete, Chancellor Scott will take 
it to the Athletic Council, charged to make recommendations to the Athletic Director and then 
the Faculty Senate. It will then be recommended back to the Chancellor who will recommend 
it to the President and finally to the Board. 

Chair Bogan then announced that in the Committee this year Trustee O'Leary will handle 
Boston and Lowell athletic issues, Trustee Lewenberg, Amherst and Trustees Karam and 
himself will handle Dartmouth. It should also be noted that Trustee Foley will be the 
traveling ambassador member of the Committee serving the four campuses. 

Under Other Business. Chair Bogan mentioned the NCAA convention in Dallas this 
January. The Athletic Directors will be in attendance as well as the Chair and Chancellor 
Scott. The report of the Convention will be on the January Athletic Committee agenda. Mr. 
Marcum mentioned that the Amherst campus is also involved in the NCAA Self-study and a 
report will be ready for the NCAA in the summer of 1996. 

The meeting adjourned at 5:20 p.m. 




iamara^uevico 
Staff Assistant 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON EXTERNAL AFFAIRS 

Tuesday, January 31, 1995; 3:00 p.m. 

Chancellor's Conference Room 

University of Massachusetts 

Harbor Campus 

Boston, Massachusetts 

Committee and Committee Staff : Chair Karam; Trustees Haynes, Hoff, Morrissey, O'Leary, Reed, 
Taylor; Vice President/Secretary to the Board Boyd; Ms. Farrell, Assistant Vice President for Board 
Relations 

Other Trustees : Trustees Andriolo, Lizana, Purdy, 

Committee Members Absent : Trustees Flores, Foley, Lewenberg, Spence 

University Administration : President Hooker; Chancellors Cressy, Hogan, Lazare, Penney, and Scott; 
General Counsel Kirby 

Chair Karam convened the meeting at 12:10 p.m. The first item on the agenda was a discussion of the 
Governor's Budg et for FY96. Vice President Boyd reviewed the Governor's recommendation for the 
University: reduction in total state appropriation from FY95; reinstatement of Governor's 
recommendation of tuition retention; the establishment of a challenge grant program for fundraising. Dr. 
Boyd reminded the Committee that the Governor's budget is the first step in the long process of the 
budget negotiation and that the University will continue to work for the full request as approved at the 
October, 1994 Board meeting. Vice President Lenhardt provided a brief overview of the budget 
presentation that is planned for the Committee on Administration and Finance. Dr. Boyd also noted that 
the President's Office, working with the campuses, has been in continuous communication with the 
legislature and that preparations with the various university constituents has already begun. 

Discussion regarding strategy for the budget was held, with particular concerns from the student 
trustees regarding process and input. The student trustees voiced concern for the prioritization of item 
within the budget request and noted the importance of access and quality over other items. Chair Karam 
indicated that the purpose of the External Affairs Committee is to develop a strategy and support the 
administration by marketing the budget. The Administration and Finance Committee takes 
responsibility for developing the budget numbers. He suggested that further discussion on these issues is 
welcomed. It was further agreed that the descriptive sections of the budget proposal to be shared with 
the Legislature express the dollar impact on basic programs, learning, and student support services for 
education. 

Further discussion regarding the specifics of the budget, including rates of increase, fringe benefits 
rates, fundraising incentives, and tuition retention was held. The Committee consensus was to work on a 
reformulated strategy for presentation to the Legislature, meeting with students and faculty to coordinate 
efforts. 

The Committee then heard from two students, Lynn Robitaille (UMA), student representative to the 
HECC, and Mirran Raphaelly, SGA president at UMASS Amherst. They emphasized the importance of 
the student role in formulating the budget strategy and the need to tell the full story about funding 
requests and the impact on undergraduate education. Ms. Raphaelly read a statement that was endorsed 



by students across the state who are concerned about the budget. Chair Karam thanked the students for 
their comments, and reaffirmed the intention of the Committee to work with the students, and to 
schedule another External Affairs Committee meeting in the near future. 

The next item on the agenda was the Tech Transfer Project . Vice President Kirby updated the 
Committee on the progress on this project, noting that they hope to bring the proposed policies to the 
Board for the April or June meeting prior to submitting the proposal for union negotiators. Vice 
President Chmura also addressed several questions regarding the process in developing the policies 
which are currently in draft form with the Five Campus Task Force appointed by the Chancellors. The 
Trustees have all heard from various faculty members concerned about the initial drafts of the policies, 
and some discussion regarding various points on formulation of the policies was held. Vice Presidents 
Kirby and Chmura will continue their meetings with the faculty in order to develop final versions of the 
policies and will report at future meetings. 

The next item on the agenda was University-wide Development . Vice President Boyd reminded 
Committee members that they each had a copy of the quarterly report. He further noted that the 
advertisement for the Executive Director of the UMASS Foundation has been agreed upon and will be 
placed in various employment listings. Also, loans to campuses for development activities are being 
worked out, and at the April Board meeting specifics will be shared with the Committee. 

The next item on the agenda was Development Reports; UMASS Boston and UMASS Worcester . 
Chancellor Penney gave an extensive report focusing on the Boston campus' goals and critical needs that 
must be met to achieve those goals; staffing needs; and directions for Trustee and external support. 
Private fundraising at UMASS Boston is currently at a higher level than the campus' peers, but has even 
more potential. The campus is working on plans for a capital campaign and has established a campaign 
board to work on the strategy. Chancellor Penney also identified the specific monetary goals for the 
various fundraising areas over the next five years; the campus plans a return of five to one. The 
Chancellor then distributed information on her presentation. 

Chancellor Lazare then made a presentation on development activities at the Medical Center, 
pointing out that the fundraising level is far below that of other teaching hospital institutions. Dr. Lazare 
noted that the major investment in the development office is the increase in staff which has seen great 
results. They, like UMASS Boston, are currently doing a feasibility study for a capital campaign. Kevin 
Courtney, Director of Development at UMMC, spoke to the success of their office as based on the high 
calibre of the programs at the Medical Center, and their ability to attract their staff based on the excellence 
of the institution. 

The next item on the agenda was the Legislative Packag e. Vice President Kirby referred to the 
information that was sent to the Committee updating the status of the legislation submitted last fall. The 
Worcester City Campus Corporation legislation was enacted. Any further action will be reported to the 
Committee at future meetings. 

The next item on the agenda for discussion was the Capital Program . Vice President Lenhardt 
informed the Committee that the Administration and Finance Committee will be presented with 
refinancing votes for the SMU Building Authority and the U-Lowell Building Authority. The 
reorganization of the Building Authority will be refiled by Governor Weld, and there was also discussion 
regarding the Information Technology bill. No other legislation has been acted on, including the HEFA 
bill. 

There being no further business to come before the Committee, the meeting adjourned at 2:00 p.m. 

Elizabeth H. TuthilPFarrell 

Assistant Vice President for Board Relations 



-2- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON EXTERNAL AFFAIRS 

Monday, November 27, 1995; 12:30 p.m. 

Board Room 

University of Massachusetts President's Office 

18 Tremont Street 

Boston, Massachusetts 

Committee and Committee Staff : Chair Karam; Trustees Foley and O'Leary; Vice 
President/ Secretary to the Board Boyd; Ms. Farrell, Assistant Vice President for Board 
Relations 

Committee Members Absent : Trustee Flores, Haynes, Hoff, Lewenberg, Morrissey, Okray, Reed, 
Spence and Taylor 

Other Trustees : Trustee Kraft 

University Administration : President Penney; Chancellor Hogan; General Counsel Kirby; Vice 
President Lenhardt; Deputy Chancellor Williams; Dr. Richard Burke 

Guests : Jerry Panas 

President Penney and Vice President Boyd convened the meeting in the absence of Trustee 
Karam at 1:00 p.m. Vice President Boyd reminded the Committee that the main item for 
discussion was a proposed Board of Trustee Fundraising Event . Vice President Boyd identified 
two specific reasons that a Trustee sponsored event is being discussed: to raise funds for the 
University and to have the Trustees take ownership over this type of event indicating the 
importance of fundraising at the University. Vice President Boyd further stated that the two 
specific areas that are important for discussion at this meeting were the possibility of selling 
tables, and the invitation list. 

The theme for the event is proposed as "Celebrating Excellence at UMASS" possibly 
focusing on the Commonwealth Scholars, star faculty and star alumni/ ae, highlighting 
excellence at the University. 

After extensive discussion in all of these areas, the Committee emphasized the importance 
of the role of the new President and possibilities for this event having an inaugural theme; the 
importance of bringing in Alumni/ ae as sponsors of the event in a similar role that the Board is 
asked to play; coordinating the date with the campuses to ensure no conflicts for major alumni or 
campus leadership and involve campuses at all levels of planning; have the event on a 
weekday night signifying its purpose as a fund-raiser as opposed to a social event; identifying 
differing levels of donations and the means for rewarding these donors at the event; logistics for 
preparing a program for the event with advertisements and patrons. The goal would be to raise 
money which could possibly go into a Commonwealth Scholar/ Honors Student fund. 



In the area of alumni/ ae involvement in the program and planning for the event, it was 
suggested that the Chancellors and the Alumni/ as Associations from each campus identify the 
top fund-raisers and active alumni who may be available to participate as members of the 
planning committee or be honorary committee members. Vice President Boyd was asked to begin 
to collect lists from the Development Offices on the campuses, and start to identify a date. He 
was also asked to work with Vice President Lenhardt to compile vendor lists from the 
campuses. 

Further discussion regarding the timeline and also the need for staff support for this event 
was held. The Committee decided that when Vice President Boyd identifies a few potential 
dates, they would be held at the preferred hotel, and a "hold-the-date" letter would be sent 
when the decision on the date is made. 

The President suggested that this discussion be shared with the Board, possibly at their 
December Board dinner. 

There being no further business, the Committee adjourned at 1:50 p.m. 




Elizabeth H. Tuthill Farrell 
Assistant Vice President for Board 
Relations 



-->. 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON EXTERNAL AFFAIRS 

Monday, December 18, 1995; 8:00 a.m. 

Board Room 

University of Massachusetts President's Office 

18 Tremont Street 

Boston, Massachusetts 

Committee and Committee Staff : Chair Karam; Trustee O'Leary; Vice President/Secretary to the 
Board Boyd; Ms. Farrell, Assistant Vice President for Board Relations 

Committee Members Absent : Trustee Flores, Foley, Haynes, Hoff, Lewenberg, Morrissey, Okray, 
Reed, Spence and Taylor 

Other Trustees : Trustee Kraft 

University Administration : President Penney; General Counsel Kirby; Vice President Lenhardt; 
Deputy Chancellor Stanton; Mr. Bob Lyons, UMASS Foundation; Mr. John Feudo, Mr. Michael Luck, 
Mr. Don Ramsbottom, Mr. Donald Main, Mr. Kevin Courtney 

Guests : Mary Ann Marsh, Consultant 

Chair Karam convened the meeting at 8:00 a.m. He began by reiterating the purpose of the 
meeting as being to discuss the first annual Trustee fundraising dinner, and identified the important 
elements of today's discussion as: 1) purpose of the fundraising—possibly to endow scholarships; 2) 
importance of avoiding any conflicts with campus fundraising and need to garner involvement from 
alumni without preempting the campuses; and 3) use of the vendor list in making solicitations for the 
event. 

The discussion then turned to the use of the vendor lists from the campuses. Chair Karam and 
Trustee O'Leary stressed the importance of not putting any of these businesses in difficult positions 
vis-a-vis their relationship with the University. General Counsel Kirby informed the Committee that, 
the Ethics Commission had been contacted and advised that employees can contact their vendors as 
long as a disclosure statement is filed with the Commission to ensure that there will be no improper 
influence. It was also suggested that the large companies in Massachusetts be solicited for their 
support. Chair Karam asked that each campus narrow the vendor list, and identify the appropriate 
contact people, as well as campus and local community leaders who may also be contacted. 

Some discussion was then held regarding ticket prices and capacity of the preferred hotel. 

It was then suggested that the Chancellors meet with the Trustees and the President to discuss 
and identify the purpose for the event, whether funds would be contributed into the Commonwealth 
Scholars Fund or into a new Trustee Scholarship fund. Discussion regarding the possibilities of 
honoring outstanding students, faculty and/or alumni/ae was held, particularly centering around 
the theme of quality at UMASS. Chair Karam asked that this be discussed at the next meeting of the 
Development Officers. 



The Committee then discussed the various lists that should be used for the event, and further 
discussion regarding campus' calendars of events was held. The Committee agreed that ongoing 
discussion in this area was critical for the event to move forward. In further discussion regarding the 
planning, Chair Karam asked that people give thought to the areas that they would like to work on 
and discuss it with Vice President Boyd. The UMASS Foundation was offered as the location which 
would work on coordinating the event. 

Chair Karam indicated that he would be meeting with each campus group to discuss the 
narrowed-down vendor lists, and other issues regarding this event. He further requested that draft 
letters of invitation be written, that suggestions regarding the theme be made, and indicated that Vice 
President Boyd should book May 7 at the hotel. Chair Karam also asked that the President ask the 
Chancellors to suggest a dozen alumni to serve on the honorary committee, and some discussion of 
what kind of commitment that would require was held. 

There being no further business to come before the Committee, the meeting was adjourned at 9:25 
a.m. 



f. 





Elizabeth H. Tuthifl Farrell 
Asst. VP for Board Relations 



UNIVERSITY OF MASSACHUSETTS 

AMHERST •BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, February 1, 1995; 9:15 a.m. 

Chancellor's Conference Room 

University of Massachusetts 

Harbor Campus 

Boston, Massachusetts 

Trustees and Trustee Staff : Chair Taylor; Trustees Andriolo, Bogan, Bok, Flores, Foley, Giblin, Haynes, 
Hoff, Karam, Kraft, Lizana, McNeil, Morrissey, Naughton, O'Leary, Poduska, Purdy, Reed, Robertson, 
Spence, and Sweeney; Vice President/Secretary to the Board Boyd; Ms. Farrell, Assistant Vice President 
for Board Relations 

r 

Trustees Absent : Trustee Lewenberg 

University Administration : President Hooker; Chancellors Scott, Penney, Cressy, Hogan and Lazare; 
General Counsel Kirby 

Faculty Representatives : Professors May, Knight, Phalen and Dr. Cooke. 

Chair Taylor convened the meeting at 9:25 a.m. The first item on the agenda was Consideration of 
the Minutes of the previous meeting of the Board. Without discussion, it was moved, seconded and 

VOTED : To approve the minutes of the December 6, 1994 meeting of the Board. 

The next item on the agenda was the Chair's Report . Chair Taylor indicated that, in the interest of 
the President's Report on the Action Plan for the Year 2000, he would forgo a report and comment at the 
completion of President Hooker's presentation. 

The next item on the agenda was the President's Report . President Hooker presented to the Board 
The President's Action Plan for the Year 2000 : Improving Quality and Responsiveness at UMASS 
Through Restructuring, Reallocation and Reinvestment. The major points included in the presentation 
were: challenges facing higher education; the public higher education story across the US; special 
challenges facing UMASS; a review of his first two years as President of UMASS; and purposes, goals and 
resources for the action plan. President Hooker then outlined the seven elements of the action plan: 
redesign of administrative functions; reallocate resources internally; improve private fundraising; set and 
meet quality improvement targets; make the University technologically up-to-date; address capital 
facility needs; and advocate for a new "compact" with the state. President Hooker filled in some details 
regarding these seven elements, and informed the Board that at all future meetings he would update 
them on progress, and specifically, at the April meeting, there would be goals and indicators for marking 
that progress. 

Discussion among the Board members following the presentation included the following: 
campus/university access to the Plan; importance of technology; recognition of the 'bold" steps that the 
plan outlines; recent changes in the Medical Center as a model for this type of major change; the need for 
specifics regarding implementation of the program; the importance of getting this message out and 
involving the Trustees in spreading the word; recognition that this work is ongoing and that the Board 
did approve three priorities and hopes that this action plan will continue to recognize those priorities; the 
need for a Trustee retreat to focus on the plan and help to implement it. 



The Chancellors each spoke to the planning that has been taking place on the campuses, much of it 
already in accordance with the President's Plan. Major issues for the Chancellors include the importance 
of funding stability for purposes of effective and thoughtful planning. The Chancellors indicated further 
that they would like to have the President present this Plan on their campuses, and many Trustees 
volunteered their time to accompany the President in support of the plan. President Hooker also noted 
that he intends to work flexibly with the Chancellors, thereby not undoing many current plans and 
activities for restructuring. 

Chair Taylor then spoke to the Board's expectation that the specific details of the plan would be 
presented to the April meeting. He further noted his expectation that each Trustee Committee would 
have some responsibility for the specifics of the plan as associated with that Committee's responsibilities 
and expertise. 

Chair Taylor then offered the following motion of support for the President's Action Plan. 

It was moved, seconded and 

VOTED : The Board of Trustees strongly endorses the President's Action Plan for the Year 2000 as 
outlined in President Hooker's presentation and authorizes and directs the President to 
work with the Chancellors to begin immediate implementation of said plan and to report 
on each of the seven elements of the Plan at meetings of the Board Committees to which 
such element is assigned by the Chair. 

Professor Knight then addressed the Board, speaking to the issue of the many changes that faculty 
have been through, but also indicating that review and adjustment to the status quo as outlined in the 
reallocation element of the plan is called for. Professor May indicated his concern for financial support 
for the plan. Further discussion regarding faculty and lay-offs was held, and President Hooker asserted 
that the University wants to minimize disruption of the lives of employees or faculty, and hopes to 
address personnel issues through early retirement and relocation programs, and that tenured faculty 
would not be terminated. 

Chair Taylor then introduced the Consent Agenda . It was moved, seconded and 

VOTED : To approve the following votes listed as items #1-9 on the Board Consent Agenda: 

1. University of Massachusetts General Purpose Financial Audit - Reportable 
Conditions (Doc.T95-011) 

•University of Massachusetts General Purpose Financial Audit - Management 
Letters for FY94 (Doc. T95-012, as amended) 

2. Worcester City Campus Corporation, FY94 Audited Financial Statements (Doc. T95- 

001) 

•Teaching Hospital Management Letter (Doc. T95-006) 

•Group Practice Plan Management Letter (Doc. T95-007) 

•Teaching Hospital and Group Practice Plan Management Information Systems 
Management Letter (Doc. T95-008) 

•Self-Insurance Trust Management Letter (Doc. T95-009) 



-2- 



•Worcester City Campus Corporation Management Letter (Doc. T95-O10) 

3. • WFCR-FM and Friends of WFCR, Inc. Combined Financial Statements for FY94 
(Doc. T95-002) 

•WFCR-FM Management Letter (Doc. T95-003) 

4. • WUMB-FM Radio Financial Statements for FY94 (Doc. T95-004) 

• WUMB-FM Radio Management Letter (Doc. T95-005) 

5. "Division of Continuing Education Audited Financial Statements, FY93 (Doc. T95- 
013) 

•Division of Continuing Education Audited Financial Statements, FY94 (Doc. T95- 
014) 

• Division of Continuing Education Management Letter for FY93 and FY94 (Doc. 
T95-015) 

6. Clinical Management Board Minutes, 11/17/94 (Doc. T95-026) 

•Group Practice September, 1994 Unaudited Financial Statement 

•Teaching Hospital September and October, 1994 Unaudited Financial Statements 

To accept the Group Practice Plan and Teaching Hospital Financial Statements as 
submitted. 

•Teaching Hospital, Group Practice and Self-Insurance Trust Fund Management 
Letters, June 30, 1994 

To accept the Management Letters as recommended by the Finance Committee. 

•Credenti ailing 

To accept the credentialling information as submitted. 

•Actions of the Clinical Management Board 

To facilitate expeditious review and ratification of the actions of the Clinical 
Management Board by the University of Massachusetts Board of Trustees, all votes 
taken by the Clinical Management Board shall be forwarded to the Office of the 
President to be placed before the next subsequent meeting of the Board of Trustees 
for presentation as part of the Consent Agenda of said Board, consistent with its rules 
and procedures; provided, that the Clinical Management Board may vote to 
recommend any specific action and that such recommendation shall be forwarded to 
the Board of Trustees for full discussion and action rather than a Consent Agenda 
item. 

7. Clinical Management Board Minutes - December 22, 1994 (DRAFT) (Doc. T95-027) 

To approve the November 17, 1994 Clinical Management Board (CMB) meeting 
minutes with the one correction listed in the December 22nd, 1994 minutes of the 
Clinical Management Board. 



-3- 



•Report of the Hospital Finance Committee 

To accept the report of the Hospital Finance Committee. 

8. Amendments to the Rules and Regulations Relative to the Operation and Governance 
of the University of Massachusetts Medical School Group Practice 

To approve the amended Rules and Regulations Relative to the Operation and 
Governance of the University of Massachusetts Medical School Group Practice as 
provided in Doc. T95-025 superseding Doc. T81-024C. 

9. Amendments to Self-Insurance Trust Governance Document 

To amend the Self-Insurance Trust Governance (Doc. T90-056A, as amended) as 
follows: 

Paragraph 2 is amended by deleting the word "Chancellor" and inserting the words 
"Deputy Chancellor for Clinical Affairs" in its place. 

The membership of the Management Committee is amended to delete the "Board of 
Trustee Member (HMB)" and to replace this position with a "Clinical Management 
Board Member". The "Chief of Staff member is corrected to "Chief Medical Officer" 
to reflect the recent change in title. The "Executive Director, Group Practice Plan" is 
deleted and replaced with the "Chief Operating Officer of the Qinical System". A 
"Physician designated by Chair of the Group Practice Advisory Board" is added. 

Paragraph 1 under the Management Committee is amended by inserting "Deputy 
Chancellor for Clinical Affairs" in place of "Chancellor." 

Paragraph 1., Underwriting" under Functions of the Management Committee has 
been amended to insert "through the Clinical Management Board after 'Trustees". 

The membership of the Claims Committee is amended to correct "Chief of Staff to 
Chief Medical Officer" to reflect the recent change in title, and to correct "Hospital 
Management Board" to "Clinical Management Board". The "Chief Operating Officer 
of the Clinical System" replaces "Executive Director, Group Practice Plan". A 
"Physician designated by Chair of the Group Practice" is added. 

The membership of the Investment Committee is amended to correct "Hospital 
Management Board" to "Clinical Management Board". The "Chief Operating Officer 
of the Clinical System" replaces "Executive Director, Group Practice Plan". The "Chief 
Financial Officer of Clinical System" replaces the "Hospital Chief Financial Officers". 
A "Physician designated by Chair of the Group Practice" is added. 

The next item on the agenda was the report of the Committee on Academic and Student Affairs. 
Trustee Poduska introduced the first item for action, Policy on Residency Status for Tuition 
Classification Purposes, 

It was moved, seconded and 

VOTED : To approve the Residency Status for Tuition Classification Purposes as contained in Doc. 
T95-019. Further, to rescind Doc. T80-002B, and all other policies (or any part thereof) 
currently in effect in the University which are inconsistent herewith. 



-4- 



The next item on the agenda was Award of Tenure, UMASS Worcester . 

It was moved, seconded and 

VOTED : To concur with the President in the award of tenure to the following individual in the 
following Department: 

Worcester 

Silvia Corvera, Cell Biology 

Trustee Poduska further reviewed the discussion items that the Committee had held, and their 
particular concern regarding access and affordability. 

Chair Taylor then turned to Trustee Spence for the report of the Committee on Administration and 
Finance. The first item was Revisions to the Academic Personnel Policy. UMASS Worcester. 

It was moved, seconded and 

VOTED : To approve the revised Academic Personnel Policy at UMASS Worcester as provided in 
Doc. T95-022 superseding Doc. T80-011C 

The next item on the agenda was Revisions to the Employee Travel Policy and Guidelines . 

It was moved, seconded and 

VOTED : To amend the Employee Travel Policy and Guidelines by striking out the language in the 

category "Authorization to Travel Out-of-State and Out-of-Country - Applicability" and 
inserting in its place the following language: 

Applicability Blanket authorizations in advance for out-of-state and out-of-country travel for legitimate 
and necessary business purposes may be issued only by the Chair of the Board of 
Trustees (for the President) and by the President (for the Chancellors). Any such person 
traveling pursuant to a blanket authorization shall complete such documentation as may 
be required by University policies and guidelines. The Travel Authorization Form must be 
completed by all other travelers seeking authorization to travel out-of-state and/or out- 
of-country or to receive an advance in accordance with campus policy. 

The next item on the agenda was the ACSIOM Loan Guaranty . 

It was moved, seconded and 

VOTED : To approve a loan guaranty, secured one-half from Trustee Reserve and one-half from 
the Amherst Campus Research Trust Fund, of up to $800,000 for a line of credit from a 
commercial bank to the Applied Computing Systems Institute of Massachusetts Inc. 
(ACSIOM), a non-profit corporation affiliated with the University, provided that the 
terms and conditions of the loan guaranty shall be subject to the approval of the Vice 
President for Management and Fiscal Affairs and Treasurer, and the Chancellor of the 
Amherst Campus. 

The next item on the agenda was Indemnification Authorization . 

It was moved, seconded and 



-5- 



VOTED : Under the authorization granted in General Laws chapter 258, Section 9 to public 
employers to indemnify their public employees, to delegate authority to the President of 
the University, upon recommendation of the General Counsel, to indemnify by way of 
settlement or satisfaction of a judgment a University officer or employee for any asserted 
liability arising out of any action or inaction falling within the scope of employment. 
Such indemnification shall be limited to the aggregate amount of any and all claims 
arising out of a single occurrence, shall not exceed one million dollars ($1,000,000), and 
shall not include punitive damages. 

Any such indemnification also shall be limited to those claims for which there is no 
insurance coverage, including coverage under the University of Massachusetts Self- 
Insurance Trust. This authorization or any action taken pursuant to this authorization 
shall not be construed as a waiver of any available insurance or as a waiver of the fiscal 
responsibility of the Commonwealth of Massachusetts to fund any appropriate request 
for indemnification. 

The next item on the agenda was the Massachusetts Ventures Corporation, UMASS Amherst 

It was moved, seconded and 

VOTED : To authorize the President to enter into an agreement for an amount not to exceed 
$125,000 per year for up to three (3) years for membership on Massachusetts Ventures 
Corporation's Board and for services from the corporation, including development and 
management of University research with commercial potential, provided that such funds 
are matched by the Pioneer Valley Economic Council; provided further, that such 
contract shall be exempt from the competitive bid requirements contained in Trustee 
Document T92-031 (Appendix D). 

And further, to direct the Chancellor of the Amherst campus to explore the possibility of 
the University securing equity interests in all spin-off companies established by 
Massachusetts Ventures Corporation and report back to the Committee on the outcome. 

The next item was the Building Authority Refinancing, UMASS Dartmouth and UMASS Lowell. 

It was moved, seconded and 

VOTED : WHEREAS, the Board of Trustees on December 7, 1994 voted to approve the refunding 
by the Southeastern Massachusetts University Building Authority ("SMUBA") of its 1986 
Series A Bonds; 

NOW, THEREFORE, BE IT RESOLVED by the Board of Trustees of the University of 
Massachusetts (the "Board"): 

To authorize the guaranty (the "Guaranty") by The Commonwealth of Massachusetts (the 
"Commonwealth"), acting through the Board pursuant to the provisions of Chapter 703 of 
the acts of 1964, as amended, of the payment of the principal of, and interest on, the 
bonds issued for the purposes of effectuating the said refinancing (the "Bonds'), which 
guaranty shall be with respect to a principal amount not to exceed $36 million; and 

To delegate to the President of the University or such other officer as he may designate 
the authority to take such actions and execute such agreements by and on behalf of the 
University and the Board as he may determine to be advisable, necessary or convenient 
to effectuate the Refinancing and the Project including but not limited to following: 



-6- 



And further, 



To approve, execute and deliver on behalf of the Board, acting on behalf of the 
Commonwealth, an amendment or supplement to the Contract for Financial Assistance, 
Management and Services, dated May 1, 1986, (the "Contract") by and between SMUBA 
and the Commonwealth, acting by and through the former Board of Trustees of 
Southeastern Massachusetts University, said amendment to provide that the Contract 
shall in all respects apply to the new Bonds issued to refund all or a portion of the bonds 
referred to in the Contract; 

To execute, or cause to be executed by facsimile signature, on behalf of the Board, the 
form of the Guaranty on the form of the Bonds; 

To verify the accuracy and completeness of the information concerning the University 
contained in any official statement prepared in connection with the issuance of the Bonds 
by SMUBA and deliver appropriate certificates with respect thereto; and 

To do or authorize other officers of the University to do all things necessary or 
convenient to carry out the purposes of this vote and the documents authorized hereby 
and to assist the Authority in completing the sale and delivery of the Bonds authorized 
hereby. 



WHEREAS, there are currently approximately $27.5 million of bonds outstanding (the 
"Outstanding Bonds") which were issued by the University of Lowell Building Authority 
("ULBA") for the purpose of financing the construction and renovation of dormitories 
and other facilities on the Lowell campus, pursuant to Chapter 557 of the Acts of 1961, as 
amended; 

WHEREAS, ULBA can realize substantial debt service savings by refinancing certain of 
ULBA's Outstanding Bonds under current tax-exempt market conditions; and 

WHEREAS, the installation of a sprinkler system in Fox Hall on the Lowell campus is 
required in order to comply with applicable laws; 

NOW, THEREFORE, BE IT RESOLVED by the Board of Trustees of the University of 
Massachusetts (the "Board"): 

To approve the refinancing by ULBA of all or a portion of its Outstanding Bonds 
designated First Series, First Series Completion, Second Series A, Third Series and Fourth 
Series A (the "Refinancing"); 

To approve and request the undertaking of a capital project by ULBA to acquire and 
install an appropriate sprinkler system in Fox Hall at a cost not to exceed $1,500,000 (the 
"Project"); 

To authorize the guaranty (the "Guaranty") by The Commonwealth of Massachusetts (the 
"Commonwealth"), acting through the Board, of the payment of the principal of, and 
interest on, the bonds issued for the purposes of effectuating the Refinancing and 
financing the Project (the "Bonds'), which guaranty shall be with respect to a principal 
amount not to exceed $28 million; and 

To delegate to the President of the University or such other officer as he may designate 
the authority to take such actions and execute such agreements by and on behalf of the 



-7- 



University and the Board as he may determine to be advisable, necessary or convenient 
to effectuate the Refinancing and the Project including but not limited to following: 

To approve, execute and deliver on behalf of the Board, acting on behalf of the 
Commonwealth, an amendment or supplement to the Restated Contract for State 
Financial Assistance and Services dated as of September 1, 1976, as amended and 
supplemented (the "Contract") by and between ULBA and the Commonwealth, acting by 
and through the Board; 

To execute, on behalf of the Board, the form of the Guaranty on the form of the Bonds; 

To verify the accuracy and completeness of the information concerning the University 
contained in any official statement prepared in connection with the issuance of the Bonds 
by ULBA and deliver appropriate certificates with respect thereto; and 

To do or authorize other officers of the University to do all things necessary or 
convenient to carry out the purposes of this vote and the documents authorized hereby 
and to assist the Authority in completing the sale and delivery of the Bonds authorized 
hereby and the Project. 

The next item was Membership in the University Hospital Consortium Service s Corporation . It 
was moved, seconded and 

VOTED : To delegate to the President in consultation with the Chancellor of the Worcester campus 
authority to determine whether and at what level the Worcester campus will participate 
in the University Hospital Consortium Services Corporation and to take such actions and 
execute such agreements or other documents by and on behalf of the University as he 
may determine to be advisable, necessary, or convenient to implement the decision. 

The next item on the agenda was the report of the Committee on Athletics. In Trustee Lewenberg's 
absence, President Hooker reported on the NCAA convention held in January, 1995. 

The next item on the agenda was a report of the Audit Committee. Chair Haynes expressed his 
thanks to Stephen Lenhardt, David Wolcott, and Janet Wanczyk for their work on the audits and financial 
materials that are reviewed by the Audit Committee. 

Chair Taylor then asked Vice President Boyd to provide a brief overview of the External Affairs 
meeting. Mr. Boyd noted the items for discussion, in particular that the Committee agrees to continue to 
seek a $21 million budget increase for the University. 

Trustee Foley then reported on the meeting of the Trustees of the Five Colleges, Inc., noting the 
excellence of the programs that are provided by and fostered by the consortium and the benefit not only 
to the University students, but the benefit derived from the University to the students of the other five 
colleges. 

Trustee McNeil then asked for the opportunity to thank her colleagues for their support and 
sympathies in the loss of her husband, Kingsley McNeil. 

There being no further business to come before the Board, the meeting was adjourned at 11:45 a.m. 

Elizabeth H. Tuthill Farrell 

Assistant Vice President for Board Relations 



-8- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, April 5, 1995; 9:15 a.m. 

Corsair's Cove, Dining Hall 

University of Massachusetts Dartmouth 

North Dartmouth, Massachusetts 

Trustees and Trustee Staff : Chair Taylor; Trustees Andriolo, Bogan, Bok, Flores, Foley, Giblin, Haynes, 
Hoff, Karam, Kraft, Lizana, McNeil, Morrissey, Naughton, O'Leary, Poduska, Purdy, Reed and Sweeney; 
Vice President/Secretary to the Board Boyd; Ms. Farrell, Assistant Vice President for Board Relations 

Trustees Absent : Trustees Robertson and Spence 

University Administration : President Hooker; Chancellors Scott, Penney, Cressy, Hogan and Lazare; 
General Counsel Kirby 

Faculty Representatives : Professors May, Knight, Phalen and Dr. Cooke. "- - 

Chair Taylor convened the meeting at 9:30 a.m. The first item on the agenda was Consideration of 
the Minutes of the previous meeting of the Board. Without discussion, it was moved, seconded and 

VOTED : To approve the minutes of the February 1, 1995 meeting of the Board. 

The next item on the agenda was the Chair's Report . Chair Taylor noted the importance of the 
President's Action Plan that had been presented at the February Board meeting with its identification of 
the University's goals. Chair Taylor went on to note the generally positive reporting of the Boston Globe 
series, and the very welcome support for the University of the Amherst Five-College Consortium in a 
letter to Speaker Flaherty. Chair Taylor also told the Board that he had attended the national meeting of 
the Association of Governing Boards with President Hooker and staff members, noting that the issues 
that UMASS grapples with are of concern to institutions nationwide, and that he believes that the 
University, with its Action Plan, is on the leading edge in addressing educational and financial issues that 
confront everyone in higher education. 

The next item on the agenda was the President's Report . President Hooker echoed Chair Taylor's 
comments on the Globe series, remarking on the positive and fair press that the University has received. 
President Hooker also reported that the House Ways & Means budget had come out, and that, relative to 
the initial forecasts for the budget, the House budget is favorable but had some substantive changes. The 
President then encouraged the Trustees to come to and participate in State House Day on April 11. 

President Hooker then presented to the Board an Update on The President's Action Plan for the 
Year 2000 . He reported that he has now visited all of the campuses (and some Trustees have joined him) 
to present the plan and had been made more aware of the difficult decisions that the campuses made 
during years of budget cuts. He then went through the categories of the action plan and updated each 
item. With respect to the Compact with the State, the President reported that he has had meetings with 
many executive office members and legislative leaders, as well as legislators with particular ties to 
UMASS. He indicated that though there is a generally positive reaction to this idea, there is still a lack of 
conviction in Massachusetts about UMASS and public higher education. Some discussion regarding the 
various aspects of the budget and the action plan ensued, including the importance of encouraging 
members of the business community to help promote the Compact. Also, several Trustees volunteered to 



help recruit those students who qualify as Commonwealth Scholars and the Chancellors were asked to 
provide information for this purpose. 

Chair Taylor then introduced the Consent Agenda. It was moved, seconded and 

VOTED : To approve the following votes listed as items #1-4 on the Board Consent Agenda: 

1. University of Massachusetts Report on Federal Financial Assistance Programs in 
Accordance with OMB Circular A-133, FY1994, UMASS, by Coopers & Lybrand (Doc. 
T95-035) 

2. Agreed-Upon Procedures Letter, Department of Athletics and Intramurals (NCAA), 
FY1994, UMASS Amherst, by KPMG Peat Marwick (Doc. T95-036) 

Agreed-Upon Procedures Letter, Accounting Records of the University and Related 
Booster Organizations (NCAA), FY1994, UMASS Amherst by KPMG, Peat Marwick 
(Doc. T95-037) 

3. Amendments to the By-Laws of the Clinical Operations of the University of 
Massachusetts Medical Center 

To approve the amendments to the By-Laws of the Clinical Operations of the University 
of Massachusetts Medical Center (Doc. T94-099) as follows: 

Section III., Article II., Part C. 2. is amended in part by deleting the first line and inserting 
in its place: 

Appointments to the Active and Associate categories of the Medical Staff shall be 
contingent upon current, simultaneous or pending appointment to the Clinical 
Faculty of the Medical School. 

Section III., Article V., Part A. 1. is amended by deleting the words "(either "Full" or 
"Voluntary" category)" which appear after the word "Practice". 

Section III., Article V., Part B. 1. is amended by deleting the words "("Full" or "Associate" 
category)" which appear after the word "Practice". 

Section III., Article XIV., Part B. 1. (b) is revised to appear as follows: 

All appointed Chairs and members, with the exception of members of the 
House Staff, shall serve for two years. Members of the House Staff shall be 
appointed for one year terms, upon recommendation of the appropriate 
Department Chair. 

Section III., Article IV., Part A. 6. is deleted. 

4. Worcester City Campus Corporation 

WHEREAS the Board previously authorized the Medical Center administration to 
explore restructuring and a possible merger with Clinton Hospital; 

WHEREAS the Board previously approved negotiations with Marlborough Metrowest 
Health Systems in accordance with a letter of intent dated May 31, 1994 and subsequently 



approved Principles of Affiliation with Marlborough Metrowest and authorized the 
Deputy Chancellor to effectuate that transaction; 

NOW THEREFORE it is 

VOTED: To authorize the Chancellor of the Worcester campus to enter into an 
agreement with the Worcester City Campus Corporation (WCCC) whereby the 
University will transfer not more than $3,050,000 and in exchange WCCC will 
establish and oversee an integrated delivery system which includes a 
community hospitals such as Clinton Hospital and Marlborough Metrowest 
Health Systems, and a primary care physicians organization; provided that 
said system will accept the University of Massachusetts Worcester clinical 
operation as a tertiary care partner and will provide teaching sites for the 
University of Massachusetts Medical School and otherwise work with the 
University to enhance the University's mission. 

The next item on the agenda was the report of the Committee on Academic and Student Affairs. 
Trustee McNeil reported that on the President's Action Plan, Trustee Kraft would oversee Resource 
Reallocation; Trustee Naughton would oversee the Quality Improvement Targets; and Trustee Poduska 
would oversee the Technology Improvements initiatives. Trustee McNeil then reported the specifics 
from the discussion of the Committee meeting regarding the Action Plan items. 

Trustee McNeil then presented the items for action, the first being the Code of Student Conduct , , 
UMASS Dartmouth . It was moved, seconded and 

VOTED : To approve the Code of Student Conduct for the Dartmouth campus as contained in Doc. 
T94-059. 

The next item was Awards of Tenure, UMASS Amherst, UMASS Boston, UMASS Worcester . 
Trustee McNeil and her Committee lauded the efforts of the administration in their renewed focus on 
selectivity and quality in tenure appointments. It was moved, seconded and 

VOTED : To concur with the President in the award of tenure to the following individuals in the 
following Departments: 

Amherst 

Shahid Ali Agha, English 

Dean Cardasis, Landscape Architecture and Regional Planning 

Don J. DeGroot, Civil and Environmental Engineering 

Todd K. Fuller, Forestry and Wildlife Management 

Gary S. Karpinski, Music and Dance 

Ellen J. Pader, Landscape Architecture and Regional Planning 

Charles C. Weems, Computer Science 

Boston 

Noushin Ashrafi, College of Management 

Robert Stevenson, Biology 

Satish B. Thosar, Accounting and Finance 



-3- 



Worcester 

Charles Vacanti, Anesthesiology 

Some discussion regarding Quality Improvement Targets was held, particularly the need to focus on 
retention rates while continuing to promote access, especially for various groups of students including 
minority students and athletes. Chancellor Scott then indicated that ALANA students currently compose 
30% of the Commonwealth Scholarships currently being offered. 

The next item was Approval of the Constitution of the Faculty Council, UMASS Boston . It was 
moved, seconded and 

VOTED : To approve the Constitution of the Faculty Council of the University of Massachusetts 
Boston as contained in Doc. T95-050, superseding Doc. T84-118. 

In Trustee Spence's absence, Chair Taylor turned to Trustee Haynes for the report of the Committee 
on Administration and Finance. The first item was FY96 Tuition and Fee Budg ets. 

It was moved and seconded. 

Trustee Haynes reminded the Board of the commitment that has been made to keep tuition and fee 
increases at or below CPI with two exceptions being UMASS Dartmouth and the FY96 increases at the 
Nursing Program at UMMC. Trustee Andriolo then thanked the Board and the Administration for the 
hard work at bringing the students into consensus with the Trustee and administration on the issue of 
increases and rollback plans. He went on to say that he would abstain from voting. 

The Board then heard from the student Trustees and the Chancellors regarding reactions on the 
campuses to the tuition and fee increase proposals, which has been difficult but is generally accepted as 
necessary. The students did indicate that they hope to see a return to focus on student needs and capital 
repairs as needed on each campus. 

VOTED : WHEREAS, in order to balance the need to provide a quality higher education with the 
need to provide access to higher education, the Board intends to keep total tuition and 
mandatory fee increases for 1995-96 to an amount no higher than the increase in 
consumer price index. 

WHEREAS, the Board recognizes that the President, with the advice of the Chancellors, 
may recommend a reduction in some or all of the increases in mandatory fees after 
receiving the University's 1996 budget appropriation but also recognizes the need to 
establish the maximum tuition and mandatory fee amounts in April for billing and 
planning purposes; 

NOW THEREFORE, in accordance with Section 9(i) of Chapter 15A of the General Laws, 
to recommend to the Higher Education Coordinating Council that the tuition for the 
University campuses for Academic Year 1995-1996 shall be as follows: 



-4- 



Tuition: 



Amherst 
Undergraduate (Mass. resident) 
Undergraduate (non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 



From 
AY1995 



To 

AY1996 



$2,220.00 $2,220.00 

$8,566.00 $8,566.00 

$2,778.00 $2,778.00 

$8,566.00 $8,566.00 



Annual 

Dollar 

Change 



$0.00 
$0.00 
$0.00 
$0.00 



% 

Change 



0.0% 
0.0% 
0.0% 
0.0% 



Boston 

Undergraduate (Mass. resident) 
Undergraduate (non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 

Dartmouth 

Undergraduate (Mass. resident) 
Undergraduate (non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 

Lowell 
Undergraduate (Mass. resident) 
Undergraduate (non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 



$2,220.00 $2,220.00 $0.00 0.0% 

$8,568.00 $8,568.00 $0.00 0.0% 

$2,778.00 $2,778.00 $0.00 0.0% 

$8,568.00 $8,568.00 $0.00 0.0% 



$1,836.00 $1,836.00 $0.00 0.0% 

$6,919.00 $6,919.00 $0.00 0.0% 

$2,206.00 $2,206.00 $0.00 0.0% 

$6,919.00 $6,919.00 $0.00 0.0% 



$1,884.00 $1,884.00 $0.00 0.0% 

$7,028.00 $7,028.00 $0.00 0.0% 

$2,260.00 $2,260.00 $0.00 0.0% 

$7,028.00 $7,028.00 $0.00 0.0% 



Worcester 
Medical School 
^Graduate (Mass. resident) 
^Graduate (non-resident) 



$8,792.00 $8,792.00 $0.00 $0.00 
$2,738.00 $2,738.00 $0.00 $0.00 
$8,566.00 $8,566.00 $0.00 $0.00 



And further, in accordance with Section 1A of Chapter 75 of the General Laws, to establish and 
approve the fees and the fee-based budgets for Academic Year 1995-96 as listed in Doc. T95-042, 
including the following: 



Curriculum Fees: 









Annual 






From 


To 


Dollar 


% 




AY1995 


AY1996 


Change 


Change 


Amherst 










Undergraduate (Mass. resident) 


$2,031.00 


$2,092.00 


$61.00 " 


3.0% 


Undergraduate (non-resident) 


$2,031.00 


$2,092.00 


$61.00 


3.0% 


Graduate (Mass. resident) 


$1,714.00 


$1,765.00 


$51.00 


3.0% 


Graduate (non-resident) 


$1,714.00 


$1,765.00 


$51.00 


3.0% 


Boston 










Undergraduate 


$1,780.00 


$1,896.00 


$116.00 


6.5% 


Graduate 


$1,780.00 


$1,896.00 


$116.00 


6.5% 



Dartmouth 

Undergraduate (Mass. resident) 
Undergraduate (non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 



$1,711.00 $1,953.00 $242.00 14.1% 

$2,405.00 $2,967.00 $562.00 23.4% 

$1,820.00 $2,111.00 $291.00 16.0% 

$2,405.00 $2,967.00 $562.00 23.4% 



Lowell 
Undergraduate (Mass. resident) 
Undergraduate(non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 



$2,646.00 $2,775.00 $129.00 4.9% 

$2,646.00 $2,775.00 $129.00 4.9% 

$2,646.00 $2,775.00 $129.00 4.9% 

$2,646.00 $2,775.00 $129.00 4.9% 



Worcester 

Medical Students 

Graduate School of Nursing 

Graduate School of Biomedical Sciences 



$1,000.00 $1,250.00 $250.00 25.0% 
$312.00 $1,250.00 $938.00 300.6% 
$312.00 $330.00 $18.00 5.8% 



-6- 



Mandatory Fees: 



Amherst 
Undergraduate 
Graduate 

Boston 
Undergraduate 
Graduate 

Dartmouth 
Undergraduate 
Graduate 

Lowell 
Undergraduate 
Graduate 

Worcester 

Medical School, First and Second Year 
Medical School (3rd-4th year & Grad.) 
Graduate - Nursing School 
Graduate School of Biomedical Sciences 



From 


To 


Dollar 


% 


AY1995 


AY1996 


Change 


Change 


;i,216.00 


$1,263.00 


$47.00 


3.9% 


;i,oi8.oo 


$1,051.00 


$33.00 


3.2% 


$298.00 


$304.00 


$6.00 


2.0% 


$298.00 


$304.00 


$6.00 


2.0% 


$288.00 


$333.00 


$45.00 


15.6% 


$288.00 


$333.00 


$45.00 


15.6% 


$75.00 


$76.00 


$1.00 


1.3% 


$75.00 


$76.00 


$1.00 


1.3% 


$470.00 


$470.00 


$0.00 


0.0% 


$435.00 


$470.00 


$35.00 


8.0% 


$435.00 


$470.00 


$35.00 


8.0% 


$435.00 


$420.00 


($15.00) 


-3.4% 



The next item was Approval of the HEFA Loan, UMASS Amherst . It was moved, seconded and 

VOTED : To authorize the President or his designee on the Amherst campus to take action 
necessary to obtain financing from the Massachusetts Health and Educational Facilities 
Authority (HEFA) not to exceed $2,400,000.00; or in the alternative, to enter into a 
lease/purchase arrangement in an amount not to exceed $2,400,000.00 through HEFA's 
Master Lease program for the purpose of completing a fiber optic cable project as 
described in Doc. T95-043, as amended. 

Three abstentions to the vote are noted: Trustees Andriolo, McNeil and Sweeney. 

The next item was UMASS Building Authority Financing . Trustee Haynes asked General Counsel 
Kirby to comment on this item. She indicated that there are three parts to this vote being considered 
today which will allow the financing to go forward. Mr. Buckley of the Building Authority informed the 
Board of the interest rate (5.73%) and the other associated details. It was moved, seconded and 

VOTED : 



WHEREAS 



The University of Massachusetts Building Authority (the "Authority") is 
authorized by Chapter 773 of the Acts of 1960, as amended, among other 
things, to provide dormitories, dining commons and other buildings and 
structures for the use of the University of Massachusetts (the "University"), its 



-7- 



students, staff and their dependents and certain organizations related to the 
University, to alter, enlarge, reconstruct, remodel and do other work in or 
upon or respecting any building or structure, to provide and install 
furnishings, furniture, machinery, equipment and facilities in or for or related 
to any such building or structure and to initiate projects for such purposes 
upon written request made by authority of the Board of Trustees (the 
"Trustees") of the University and upon written approval from the 
Commissioner of Administration and the Chancellor of the System of Public 
Higher Education (the "Chancellor"); and 

WHEREAS in the judgment of the Trustees it is in the best interests of the University, its 
students, staff and their dependents and said organizations that the Authority 
initiate the projects described below; 

NOW, THEREFORE, BE IT RESOLVED THAT 

1. The President of the University be and he hereby is authorized in the name and on behalf of the 
Trustees to make a written request of the Authority that the Authority initiate the following 
projects: 

(a) any or all of the projects set forth on Schedule A attached hereto; 

and - 

(b) in addition to or in lieu of any project set forth on Schedule A 
attached hereto, any other renovation, repair, remodeling or other work 
in or upon or respecting any building or structure owned or used by the 
University or the Authority, or the provision, installation, renovation, 
repair or remodeling of or other work upon or respecting any 
furnishings, furniture, machinery, equipment or facilities with respect to 
any such building or structure, all as may be requested of the Authority 
in writing from time to time by the President of the University or by the 
Vice President for Management and Fiscal Affairs and Treasurer of the 
University, the making of any such request being hereby authorized; 

2. The projects to be initiated by the Authority in accordance with the request authorized to be made 
in Section 1 of this resolution may in the discretion of the Authority be undertaken separately or 
together for financing purposes; 

3. The President of the University and all other officers of the University be and they are and each acting 
singly is authorized and directed to request the Commissioner of Administration and the Chancellor 
to approve in writing the undertaking by the Authority of the projects a request for which is hereby 
authorized and to do such other things and to take such other action as to the officer or officers so 
acting shall, as conclusively evidenced by their taking the action hereby authorized, deem necessary 
or desirable to be done or taken to carry into effect the matters hereby authorized. 

And, 

RESOLVED: That the making of a Contract for Financial Assistance, Management and Services 1995-A 
Projects between The Commonwealth of Massachusetts, acting by and through the Board 
of Trustees (the "Trustees") of the University of Massachusetts (the "University"), and 
University of Massachusetts Building Authority pursuant to Chapter 773 of the Acts of 
1960, as amended, and pertaining to the undertaking by the Authority of projects for 
which a request was authorized by the Trustees on April 5, 1995, be and the same hereby 



* 



is authorized; that the Chairman of the Trustees, the Vice Chairman of the Trustees, the 
President of the University and the Vice President for Management and Fiscal Affairs and 
Treasurer of the University, each acting alone, be and hereby are authorized, in the name 
and on behalf of The Commonwealth of Massachusetts, to sign, seal with common seal of 
said University and of the Trustees, acknowledge if deemed advisable, and deliver a 
Contract for Financial Assistance, Management and Services 1995-A Projects 
substantially in the form presented to this meeting (subject to such changes, insertions 
and omissions as may be approved by the signer of such Contract on .behalf of the 
Trustees and the signer of such Contract on behalf of the Authority) and providing for 
the issuance by the Authority of bonds in the maximum principal amount of $22,600,000; 
that the form of such Contract for Financial Assistance, Management and Services 1995-A 
Projects presented to this meeting and each term, condition and provision therein 
contained be and the same hereby are approved, subject to such changes, insertions and 
omissions as may be approved by the signer of such Contract on behalf of the Trustees 
and the signer of such Contract on behalf of the Authority; and that the execution of such 
Contract for Financial Assistance, Management and Services 1995-A Projects by the 
signer of such Contract on behalf of the Trustees shall be conclusive evidence (a) of the 
approval by such signer of any such changes, insertions or omissions and the 
authorization of the same and (b) that the form of Contract for Financial Assistance 
Management and Services 1995-A Projects so executed (with approved changes, 
insertions and omissions, if any) is as hereby authorized and approved. 



♦ 



In addition to the authorizations granted by this resolution to the Chairman of the 
Trustees, the Vice Chairman of the Trustees, the President of the University and the Vice 
President for Management and Fiscal Affairs and Treasure of the University, and without 
limiting any such authorizations, the Trustees, pursuant to Chapter 75, Section 3A of the 
Massachusetts General Laws and every other authority thereunto the Trustees enabling, 
hereby delegate to the President of the University and the Vice President for 
Management and Fiscal Affairs and Treasurer of the University, each acting alone, the 
power to do all acts and things and exercise all powers each such officer is authorized by 
this resolution to do or exercise, such delegation being intended to be commensurate 
with the authorizations granted to each such officer by this resolution, and such 
delegation being in the judgment of the Trustees necessary or desirable. 



And further, 
RESOLVED: 



That the Chairman and Vice Chairman of and the Vice President for University Relations 
and Secretary to the Board of Trustees (the 'Trustees") of the University of Massachusetts 
be and each such officer acting alone hereby is authorized, in the name and on behalf of 
The Commonwealth of Massachusetts, to sign by manual or facsimile signature the form 
of guaranty provided in the Contract for Financial Assistance, Management and Services 
1995-A Projects between said Commonwealth, acting by and through the Trustees, and 
University of Massachusetts Building Authority dated as of May 1, 1995 on each bond 
issued by said Authority to finance the cost of the Projects referred to in said Contract; in 
case any officer of the Trustees whose signature or facsimile signature shall appear on 
any such bond shall cease to be such officer before the delivery thereof, such signature or 
facsimile signature shall nevertheless be valid and sufficient for all purposes, the same as 
if such officer had remained in office until such delivery. 



-9- 



SCHEDULE A 

Project Total Project Cost 

AMHERST CAMPUS 

Mechanical System Replacement, Phase I Morrill Science Center $ 450,000 
Mechanical System Replacement, Phase II Goodell, Herter, 

Chen worth & Health Services 643,235 

Bartlett Roof & Mechanical Repairs 120,000 

Phase III Lederle Chilled Water Systems 571,765 

Roof Replacements: Stockbridge, French & Fernald 569,823 

Roof Replacement: Middlesex 85,972 

Roof Replacements: Physical Plant, Power Plant 789,205 

Lederle Joint Repairs 750,000 

Electrical System Repairs, Phases I and II 1,630,000 

Stem Distribution 2,000,000 

Old Goessmann(ADA Upgrade Requirement) 264,000 

Campus Research Hood Replacements 300,000 

Morrill HVAC Improvements /Repairs & Replacements 450,000 

TOTAL AMHERST CAMPUS 8,624,000 

DARTMOUTH CAMPUS 

Cooling Tower (Library) diverted to Group 2 coil piping 88,236 

High Voltage Electric Preventative Maintenance 93,988 

Electric Feeder #4 Replacement Fine Arts Building 47,496 
Electric Feeder #2 Replacement Administration, Campus Ctr. 

Library & Gymnasium 214,839 

Formaldehyde Room Exhaust Makeup Air 30,701 

Library Fuel Tank Remove & Replace/Spill Clean-up 72,237 

Chiller Repair: Campus Center 118,974 

Cooling Towers Fill, Asbestos Replacement 72,237 

Asbestos Removal 63,964 

Roof Replacement 824,866 

Steam Line Repairs 1,768,479 

Replace Fume Hoods 106,169 

Emergency Generator Repair 112,477 

Fire Alarm Repair 217,152 

Prior Projects 322,185 

Energy Management Systems 400,000 

Steam Line Repairs 380,666 

TOTAL DARTMOUTH CAMPUS $4,934,666 



-10- 



* 



SCHEDULE A 

Project Total Project Cost 

BOSTON CAMPUS 

Replace Chiller Pumps $ 68,000" 

Air Balancing Study & Implementation 74,920 

Flooring Repairs: McCormick Gym, Science Greenhouse 1 10,000 

Elevator Safety & ADA: Wheatley & McCormack Building 140,010 

Saltwater Strainer & Dock Utilities 185,000 

Replace Insulation & Heat Trace Repairs 100,000 

Regulating Valve Repairs 40,000 

Repair Doors for Safety & Access 191,000 

ADA Phase I Bathrooms 150,000 

Handicapped Access Door & Corridor Improvements 180,000 

Phase II Roof Replacements & Patio Repairs 478,000 

Admin 1st Floor in-Fill/ Relocate UMB Public Safety 185,000 

Garage Slab repair & Resurfacing 1,250,000 

Clark Center Lobby & Pool Tiles 195,000 

Handicapped Access Door & Corridor Improve, Phase II 150,000 

ADA Stairways 100,000 

Handicapped Access Parking/ Drop-off 35,000 

ADA Phase II - Bathrooms, etc. 155,000 

Glass Repairs to Skylights & Catwalk 195,000 

TOTAL BOSTON CAMPUS 3,981,930 

LOWELL CAMPUS 

Fire Safety Improvements: Olney, Olsen, North Campus 3,561,000 

Fire Safety Improvements: Coburn Hall, South Campus 1,470,000 

Steam Line Repair: South Campus 1,280,000 

Repair HVAC Syst: Dugan, Admissions, South Campus 200,000 

Repair HVAC Syst: Lydon/ Alum Libraries, North Campus 294,000 

Repair HVAC Syst: North Campus Libraries 758,000 

TOTAL LOWELL CAMPUS 7,563,000 

GRAND TOTAL ALL CAMPUSES $25,103,596 



-11- 



The next item was Southeastern Massachusetts University Building Authority Contract for 
Services . Trustee Haynes indicated that this vote authorizes the President to take action to change the 
SMU Building Authority to become similar to the operation of the University of Massachusetts Building 
Authority. It was moved, seconded and 

VOTED : To authorize the President to take all actions necessary, including negotiation and 
execution of an agreement(s) for financial assistance, management and services between 
the University and the Southeastern Massachusetts University Building- Authority, to 
arrange for operation of Authority projects in a manner substantially similar to the 
arrangement between the University and the University of Massachusetts Building 
Authority as outlined in Doc. T92-118, Addendum 7 (providing for the management of 
the operations and the funds of Building Authority projects by the University.) 

The next item was Development Loans, as amended . Trustee Haynes noted the need for these loans 
to support expanded development activities and the amendment being that the interest rate would be 
established by the Treasurer on July 1, 1995. This amendment reflects the need to review the current 
Policy for the Management of University Funds. It was moved, seconded and 

VOTED : To authorize, pursuant to Section 13 of the Policy for Management of University Funds 
(Doc. T92-031) to authorize the President to approve loans to the Dartmouth and Lowell 
campuses either from an intracampus source or from the University's cash float or other 
accounts under the President's control in amounts not to exceed $337,000 for the 
Dartmouth campus and $1 million for the Lowell campus, the proceeds to be used 
exclusively for the purpose of supporting development efforts. Said loans shall be repaid 
on such terms, at an interest rate to be established by the University Treasurer on July 1, 
1995, and shall be documented by fully executed line of credit agreements and supported 
by business plans. 

The next item was Continuing Education Building Purchase, UMASS Amherst . Trustee Haynes 
informed the Board of the Committee's concern for the cost of renovating the building and its request that 
the Chancellor provide a cost analysis to the Committee. Chancellor Scott provided a brief background to 
the Board regarding this vote and the needs of the Continuing Education Department in renovating the 
building, specifically for ADA requirements and telecommunication needs. It was moved, seconded and 

VOTED : To authorize the President or his designee, in cooperation with the Commonwealth 
Division of Capital Planning and Operations (DCPO), to take all necessary actions to 
purchase a building to house the campus Continuing Education Programs as set forth in 
Doc. T93-074A. 

The next item was Change in Purpose of Inter-Campus Loan, UMASS Dartmouth, as amended . It 
was moved, seconded and 

VOTED : Pursuant to Section 13 of the Policy for Management of University Funds (Doc. T92-031) 
to authorize the President of the University to approve an intercampus loan to the 
Dartmouth campus from the University's cash float or other accounts under the 
President's control, in the amount $600,000, the proceeds to be used exclusively to fund 
the costs of the early retirement program. Said loan shall be repaid on such terms, with 
the interest rate to be established by the University Treasurer on July 1, 1995, and shall 
be documented by fully executed line of credit agreements. 

To authorize the President to do such other things and to take such other action as he 
deems necessary or desirable to carry into effect the matters herein authorized. 



-12- 



Further, to revoke the $600,000 intercampus loan authorization to the Dartmouth campus 
I voted by the Board at its October 5, 1994 meeting. 

Trustee Lewenberg then briefed the Board with information concerning athletic events and the status 
of the Lowell arena. After reporting on the various activities, he called on Trustee Foley who read the 
following resolution: 

VOTED : WHEREAS, 

the players and coaches of the University of Massachusetts Amherst Men's Basketball 
Team: 

showed great determination in overcoming their many hardships this season including 
injury, athletic and otherwise; 

WHEREAS, 

they demonstrated tremendous improvement in their collective academic performances; 

WHEREAS, 

they won the Atlantic 10 Conference Championship for the fourth successive year; v < 

WHEREAS, 

they achieved the distinction of reaching the "Elite 8", their most successful foray to date 
into the NCAA playoffs, with a final overall record of 29 wins, 5 defeats; 

WHEREAS, 

they ignited the spirits of the student body, faculty and staff not only on their own 
campus at Amherst, but of this entire University, and by so doing also lifted the spirits 
and imagination of the entire Commonwealth; 

BE IT RESOLVED, 

that the Board of Trustees wishes to congratulate the players and the coaches for their 
outstanding performance and for the great job that they continue to do as a positive 
window through which to view the entire University. 

It was moved and seconded. 

Trustee Haynes then gave a brief report of the Audit Committee. He reminded the Board that this 
was the first time that the A-133 Audit was done internally and there were no substantive concerns and 
the reportable conditions have been addressed. Trustee Haynes further informed the Committee that the 
improvement in control mechanisms over the Booster organizations is very positive. The Committee is 
still concerned about spending from fund balances. Trustee Haynes went on to say that the University 
Controller had received correspondence from the State Controller congratulating the University on the 
enhanced capability to communicate and present financial information and Trustee Haynes thanked the 
A&F staff. Chair Taylor further applauded those efforts. 

On a roll call vote, Chair Taylor then asked for a motion to enter Executive Session for the purposes of 
▲ discussing Honorary Degrees, UMASS Worcester . 



-13- 



It was moved, seconded and 

VOTED : To enter Executive Session. 

Chair Taylor voted for the motion as did Trustees Andriolo, Bogan, Bok, Flores, Foley, Giblin, 
Haynes, Hoff, Karam, Kraft, Lewenberg, McNeil, Naughton, O'Leary, Poduska, Reed and Sweeney. 

Chair Taylor stated that the Board would not return to open session after the Executive Session. 

The time was 10:40 a.m. 

Elizabeth Tu thill Farrell 
Assistant Vice President for 
Board Relations 




-14- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL -WORCESTER 

MINUTES OF THE SPECIAL MEETING OF THE 
BOARD OF TRUSTEES 

Monday, May 15, 1995; 4:00 p.m. 
One International Place 

20th Floor Lounge 
Boston, Massachusetts 

Board and Board Staff : Chair Taylor; Trustees Bok, Flores, Foley (arrived late), Giblin, Haynes, Hoff, 
Karam, Kraft, Lewenberg, McNeil, Naughton, O'Leary, Poduska, Purdy, Reed, Robertson (left early), 
Spence; Assistant Vice President Farrell 

Board Members Absent : Trustees Andriolo, Bogan, Lizana, Morrissey and Sweeney 

University Administration : Vice President and General Counsel Kirby 

Chair Taylor convened the meeting at 4:15 p.m. identifying the purpose of the meeting as 
twofold: to approve an Honorary Degree and to discuss the possible future in the event that 
President Hooker leaves the University. Chair Taylor indicated that he would like the Board to 
discuss the possibilities of a national search for a permanent replacement and the appointment of an 
interim president. 

The Board noted the fact that the President will likely be offered a position in North Carolina and 
will likely take that position if offered. There was general consensus that the Board should consider 
an appointment of an Interim President and then a search for a permanent President. It was offered 
that the advice of the Vice Presidents and Chancellors should be sought in the appointment of an 
Interim President. It was further agreed that whoever serves as Interim President could not apply for 
the permanent position barring a situation where no one would accept the interim presidency with 
that caveat. 

The Board then moved on to a discussion of a search for a permanent candidate. It was agreed 
that the search should be a national one, that it should begin promptly to bring the best candidate to 
the presidency as soon as possible, and that the process should be a fluid one. Further discussion of 
the role of a search firm was held, as well as composition of a search committee. Chair Taylor stated 
that he would consider the various comments and after further discussion with Trustees, would 
recommend a committee and process for the search at the June 7, 1995 Board meeting. The Board 
then briefly discussed the type of leader needed in the UMASS presidency. 

The Board then asserted the importance of keeping the momentum begun by President Hooker, 
particular the aspects of the Action Plan which all agreed is the University's plan for the future. 

It was then moved, seconded and i 

VOTED : To go into Executive Session to consider candidates for honorary degrees pursuant to 
G.L. c. 75, section 4, and 

WHEREAS, the Massachusetts Open Meeting Law, M.G.L. c. 30A, Sec. 11 A 1/2 permits executive 
sessions "[t]o comply with the provisions of any general or special law..." 



WHEREAS, M.G.L. c. 214, Sec. IB provides that "[a] person shall have a right against 
unreasonable, substantial, or serious interference with his privacy." 

WHEREAS, the Massachusetts Public Records Law, M.G.L. c. 4, Sec. 7 twenty sixth provides a 
similar exemption to clause (c) for "materials or data relating to a specifically named individual, 
the disclosure of which may constitute an unwarranted invitation of personal privacy." 

WHEREAS, the common experience indicates that most serious individuals will not apply for nor 
will others become interested in a position such as Interim President of the University of 
Massachusetts if the fact of his or her nomination, application, or interest can become publicly 
known before the finalist stage; and the leading recent book on higher education searches for 
presidents by David Reisman and Judith McLaughlin strongly supports what common 
experience teaches. 

WHEREAS, the persons whom the Board wishes now to discuss have not yet been contacted by 
the same Board to ascertain whether or not they have any interest in the position of Interim 
President should such position need to be filled in the near future. 

THEREFORE, in order to protect the privacy rights of those individuals the Board shall adjourn 
to executive session to discuss such names mentioned above; and the Board shall not resume its 
public meeting following such executive session. 

Chair Taylor further reminded the Board that no votes would be taken in the closed session other 
than the honorary degree vote, and he anticipated asking a small group of Trustees to consider 
discussing with some of those people who may be mentioned in the session their interest in taking on 
the role of Interim President. 

The vote was then taken by roll call. Trustees Bok, Flores, Foley, Giblin, Haynes, Hoff, Karam, 
Kraft, Lewenberg, McNeil, Naughton, O'Leary, Poduska, Reed, Spence, and Taylor all voted for the 
motion. The time was 5:50 p.m. 




Elizabeth H. Tuthill Farrell 

Assistant Vice President, Board Relations 



-2- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE SPECIAL MEETING OF THE 
BOARD OF TRUSTEES 

Friday, May 19, 1995; 3:30 p.m. 
Boston Marriott Hotel, Newton 

Grand Ballroom Salon D 

Newton, Massachusetts 

Board and Board Staff : Chair Taylor; Trustees Andriolo, Bok, Flores, Giblin, Haynes, Hoff, Kraft, 
Lewenberg, Lizana, McNeil, Naughton, O'Leary, Poduska, Spence; Vice President and Secretary 
Boyd; Assistant Vice President Farrell 

Board Members Absent : Trustees Bogan, Foley, Karam, Morrissey, Purdy, Reed, Robertson and 
Sweeney 

University Administration : Chancellors Cressy, Hogan, Lazare, Penney, and Scott; Vice President 
and General Counsel Kirby; Vice Presidents Chmura, Lenhardt, and Sessoms 

Chair Taylor convened the meeting at 3:40 p.m. and confirmed that Michael Hooker had been 
appointed to and had accepted the position of Chancellor at the University of North Carolina at 
Chapel Hill at their Board of Governors meeting earlier today. Before moving on to the business of 
appointing an Interim President, Chair Taylor recognized Al Lizana, student trustee from UMASS 
Amherst, and noted that this would be Trustee Lizana's last formal meeting as he will not be able to 
attend the June Board meeting. Chair Taylor thanked Mr. Lizana for his work as a Trustee. Trustee 
Lizana then introduced Daniel Rivera, his successor, and went on to offer his appreciation to the 
Board for a rewarding two years. 

Chair Taylor then turned to the agenda item, the appointment of an Interim President. He stated 
that the Trustees, at a meeting on Monday (5/15/95) had agreed that there is a need to appoint an 
interim leader as soon as possible. He thanked Trustees, Haynes, Hoff, Lewenberg and Reed for the 
work they had done during the week in consulting with the entire Board to determine who should be 
appointed to this position. 

A motion was then put forward. It was moved, seconded and 

VOTED : 

To appoint Sherry H. Penney as Interim President of the University of Massachusetts to 
serve at the pleasure of the Board of Trustees. Further, to authorize the Chair to establish 
the starting and ending dates and other terms and conditions of employment, provided 
that the annual salary for the Interim President shall not exceed $185,000 and provided 
further that Dr. Penney shall not be a candidate for the permanent position of President 
of the University. Following the appointment of a permanent President and the 
conclusion of her service as Interim President, Dr. Penney shall return to the position of 
Chancellor of the University of Massachusetts Boston. 

Chancellor Penney then thanked the Board for the opportunity to serve as Interim President, 
noting that she is looking forward to this leadership challenge. She stated her intention to work 
closely with the other Chancellors to continue with the progress that has been made to date, and 
emphasized her commitment to the mission of the institution. 



Chair Taylor then reported that the search for a permanent president would begin promptly, and 
that, at his request, Trustee Lewenberg had agreed to take on the task of chairing the search 
committee. Chair Taylor further stated that he would report on the plans for the search at the June 
Board meeting and ask for the Board's concurrence at that time. Chair Taylor went on to say that the 
need for confidentiality among Board members and administration during the search process is of the 
utmost importance to the integrity of the search and to bringing on the best possible candidate to 
lead UMASS. He asked that the Board consider Trustee Lewenberg in his capacity as chair of the 
search as the spokesperson for the Board on that matter. 

Chair Taylor went on to thank his fellow Trustees for their support and their commitment to 
bringing strong leadership to the University. He further thanked the Chancellors, the President's 
Office staff, the faculty and the members of the entire University community for their work in 
keeping momentum during this transitional period. 

There being no further business, the meeting was adjourned at 4:00 p.m. 




Elizabeth H. Tu thill Farrell 
Asst. VP for Board Relations 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, June 7, 1995; 9:15 a.m. 

18 Tremont Street, - Suite 800 

Board Room 

Boston, Massachusetts 

Trustees and Trustee Staff : Chair Taylor; Trustees Andriolo, Bogan, Bok, Flores, Giblin, Haynes, Hoff, 
Karam, Kraft, Lewenberg, McNeil, Morrissey, Naughton, Poduska, Reed, Robertson, and Spence; Vice 
President/Secretary to the Board Boyd; Ms. Farrell, Assistant Vice President for Board Relations 

Trustees Absent : Trustee Foley, Lizana, O'Leary, Purdy and Sweeney 

Guests : Student Trustees-elect Okray and Rivera 

University Administration : President Penney; Chancellors Scott, Cressy, Hogan and Lazare; Vice 
Chancellor MacCormack; General Counsel Kirby; Deputy Chancellor Russo 

Faculty Representatives : Professors May, Knight, Carroll, and Dr. Cooke. 

Chair Taylor convened the meeting at 9:30 a.m. The first item on the agenda was Consideration of 
the Minutes of the previous meetings of the Board. Without discussion, it was moved, seconded and 

VOTED : To approve the minutes of the April 15, May 15 and May 19, 1995 meetings of the Board. 

The next item on the agenda was the Chair's Report . Chair Taylor stated that he would make 
comments under Other Business . 

The next item on the agenda was the President's Report . President Penney commented on her 
transition into the Presidency, noting her exhilaration at the Commencements she had attended, and went 
on to provide brief overviews of activities on the campuses. In the area of Intercampus Cooperation, 
President Penney said that she had reviewed a draft report on the extensive cooperation that the 
campuses are engaged in, which she will be pleased to share with the Board. President Penney went on 
to review the highlights of the Action Plan, and pointed out that each Trustee had received a written 
update on the Plan. President Penney then thanked the Chancellors, the Trustees and staff for helping 
make the transition so successful to date. Chair Taylor then thanked President Penney for her moving 
into the Presidency on this interim basis; he went on to thank President Hooker for his efforts while at 
UMASS, as well as the Chancellors and President's Office staff for keeping the momentum during this 
time of change. 

Chair Taylor then introduced the Consent Agenda. He turned to Chancellor Lazare to comment on 
one of the items. Chancellor Lazare introduced Dr. Arthur Russo who reviewed the background on the 
vote of the Purchase of the University Commons Nursing Home (Consent Agenda, Item #4). Dr. Russo 
noted that the Trustees who are represented on the Clinical Management Board had been involved in the 
discussion at the CMB's meeting regarding this item, and Trustee Lewenberg assured the Board that the 
issue had been well-vetted. There was brief discussion regarding the details of the transaction, as well as 
appreciation offered for the Medical Center taking the responsibility for a difficult situation at the 
Nursing Home. Chair Taylor expressed the Board's confidence with the new management structure at 
the Medical Center, and thanked Dr. Russo for his review of this item. 



It was moved, seconded and 

VOTED : To approve the following votes listed as items #1-11 on the Board Consent Agenda: 

1. Clinical Management Board Minutes, January 26, 1995 (Doc. T95-058) 

a. Clinical Management Board Minutes, December 22, 1994 (Doc. T95-027) 

To accept the 12/22/94 Clinical Management Board meeting minutes with two 
corrections listed. 

b. Report of the Hospital Finance Committee 

To accept the report of the Hospital Finance Committee. 

c. Community Benefits Mission Statement 

To submit with modification, the proposed Community Benefits Mission Statement 
to the state Attorney General by the February 15, 1995 deadline. 

d. Group Practice Plan Rules and Regulations 

To approve the Group Practice Plan Rules and Regulations Revisions with the 
recommended modifications. 

e. Self-Insurance Trust Governance Document 

To accept the amendment of the Self Insurance Trust Governance Document (Doc. 
T90-056) 

f. Appointments and Re appointments 

To approve the appointments and re appointments as presented. 

2. Clinical Management Board Minutes, February 23, 1995 (Doc. T95-058) 

a. Clinical Management Board Minutes, Tanuary 26, 1995 (Doc. T95-027) 

To approve the January 26, 1995 Clinical Management Board (CMB) meeting minutes 
with the one correction listed in the February 23, 1995 minutes of the Clinical 
Management Board. 

b. Report of the Hospital Finance Committee 

To approve the report of the Hospital Finance Committee. 

c. Integrated Information System Plan Initiatives 

To finance $1,084,000 (and not to exceed this amount) to support the integrated 
Information System plan initiatives. 

d. Primary Care Expansion 



To finance $3.4 million dollars for acquisition of 28 primary care practices. 

e. Credentialling 

To accept the credentialling information as submitted. 

f. Clinton Hospital 

To accept the principles outlined in the Preliminary Principles of Agreement for 
Clinton Hospital and the University of Massachusetts Medical Center. 

g. Clinical Faculty Compensation 

To approve the Policy for Clinical Faculty Compensation in Clinical Departments as 
recommended by the Clinical Policies Committee. 

h. By-Laws of the Clinical Operations 

To approve the Amendments to the By-Laws of the Clinical Operations of the 
University of Massachusetts Medical Center. (Doc. T94-009) 

3. Clinical Management Board Minutes, March 23. 1995 (Doc. T95-058) 

a. Clinical Management Board Minutes, February 23, 1995 (Doc. T95-027) 
To approve the minutes as recorded for February 23, 1995. 

b. Clinical Management Board Meeting Time 

To begin future Clinical Management Board meetings at 8:00 a.m., ending at 11:00 
a.m. 

c. Report of the Hospital Finance Committee 

To accept the report of the Hospital Finance Committee. 

d. Worcester City Campus Corporation 

WHEREAS the Board previously authorized the Medical Center administration to 
explore restructuring and a possible merger with Clinton Hospital; 

WHEREAS the Board previously approved negotiations with Marlborough 
Metrowest Health Systems in accordance with a letter of intent dated May 31, 1994 
and subsequently approved Principles of Affiliation with Marlborough Metrowest 
and authorized the Deputy Chancellor to effectuate that transaction; 

NOW THEREFORE it is VOTED: 

To authorize the Chancellor of the Worcester campus to enter into an agreement with 
the Worcester City Campus Corporation (WCCC) whereby the University will 
transfer not more than $3,050,000 and in exchange WCCC will establish and oversee 
an integrated delivery system which includes community hospitals such as Clinton 
Hospital and Marlborough Metrowest Health Systems, and a primary care 
physicians organization; provided that said system will accept the University of 



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Massachusetts Worcester clinical operation as a tertiary care partner and will provide 
teaching sites for the University of Massachusetts Medical School and otherwise 
work with the University to enhance the University's mission. 

e. Credentialling 

To approve the Credentialling Reports as per the Hospital Executive Committee and 
Health Professional Staff Credentials Committee. 

4. Purchase of the University Commons Nursing Care Center 

WHEREAS the Board previously authorized the Chancellor of the Worcester campus 
to enter into an agreement with the Worcester City Campus Corporation (WCCC) 
whereby the University would transfer not more than $3,050,000 in exchange for the 
establishment and oversight by WCCC of an integrated delivery system which will 
include community hospitals such as Clinton and Marlborough Hospitals, and a 
primary care physician organization; provided that said system will accept the 
University of Massachusetts Worcester clinical operation as a tertiary care partner 
and will provide teaching sites for the University of Massachusetts Medical School 
and otherwise work with the University to enhance the University's mission; 

WHEREAS said agreement has been entered into by the University and WCCC; 

NOW, THEREFORE, BE IT RESOLVED to authorize the Chancellor of the 
Worcester campus to amend the aforementioned agreement by authorizing the 
transfer of an additional $4,700,000 in exchange for the continued development and 
oversight by WCCC of an integrated delivery system which will include but not be 
limited to community hospitals such as Clinton and Marlborough Hospitals, a 
primary care physician organization such as University Physician Partners, Inc., and 
a skilled nursing facility such as University Commons; provided that said system 
will accept the University of Massachusetts Worcester clinical operation as a tertiary 
care partner and will provide teaching sites of the University of Massachusetts 
Medical School and otherwise work with the University to enhance the University's 
mission. 

5. Code of Student Conduct. UMASS Boston (Doc. T94-059) 

To approve the Code of Student Conduct for the UMASS Boston campus, as contained in 
Doc T94-059, as amended. 

6. Waiver of Sabbatical Leave Return Obligation, UMASS Amherst (Doc. T95-057) 

To waive the remainder of the sabbatical leave obligation of Robert Christensen, 
Professor of Resource Economics at the University of Massachusetts Amherst. 

7. Departmental Reorganization, UMASS Amherst (Doc. T95-055) 

To approve the establishment of the Departments of Biostatistics and Epidemiology, 
Community Health Studies, and Environmental Health Sciences in the School of Public 
Health and Health Sciences at UMASS Amherst. 



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8. Revisions to the Policy for the Management of University Funds (Doc. T92-031) 

To adjust the interest rate for inter- or intra-campus loans between funds by striking from 
the fourth sentence of Section 13 of the Policy for Management of Institutional Funds 
(Doc. T92-031) the words, "equivalent to the prime rate of interest" and inserting in place 
thereof the following: — equivalent to 50 basis points more than the comparable United 
States Treasury instrument. 

9. Revisions to the Employee Travel Policy (Doc. T92-031, Appendix B) 

To provide for continuous updates of the University's mileage reimbursement rates for 
employees who use their personal vehicles for official business by amending the 
Employee Travel Policy (Doc. T92-031, Appendix B), first, by striking the first paragraph 
of the section captioned Method/ Procedure under Privately-Owned Motor Vehicles, and 
inserting in place thereof the following: — 

Reimbursement for personal vehicle use will be reimbursed at the then current 
rate established by the United States Internal Revenue Service, which rate shall 
be deemed to include the cost of fuel and other operating expenses of the motor 
vehicle. 

Second, by striking the Travel Reimbursement Rate Table as appearing in said Appendix B. 

And third, by striking the third sentence from the paragraph captioned Applicability 
under Meals Per Diem and inserting in place thereof the following: — 

Effective June 7, 1995, the per diem allowance for meals shall be $25.00. The 
University Treasurer is hereby authorized to adjust such allowance from time to 
time to account for changes in the cost of living. The Treasurer shall promulgate 
and keep current a Travel Reimbursement Rate Table showing allowances for meals 
and mileage. 

Notwithstanding the foregoing, no change in reimbursement rates covered by collective 
bargaining agreements shall take effect until such change shall have been agreed upon 
pursuant to appropriate bargaining procedures. 

10. FY 1996 Revenue-Based Budgets (Doc. T95-062) 

To approve the budgets and fee structures for the FY 1996 Revenue-Based Budgets at the 
Amherst, Boston, Dartmouth, Lowell and Worcester campuses as described in Doc. T95- 
062, and further, to approve associated changes in statements of trust and increases in 
fees as appear in said document. 

11. Authorization for Expenditure of Funds in FY 1996 (Doc. T95-060) 

To authorize the President to expend at the FY 1995 rate, state and non-state funds for the 
University from July 1, 1995 until such time as the Board adopts the Operating Budget for 
FY 1996. 

The next item on the agenda was the report of the Committee on Academic and Student Affairs. 
Trustee Poduska reported that the discussion at that Committee was largely centered around tenure 
issues which that Committee will continue to focus on. He noted that one tenure case had been tabled 
and more information requested for the August meeting on that case. 



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Trustee Poduska then presented the items for action, the first being the Appointments with Tenure, 
UMASS Amherst and UMASS Worcester . It was moved, seconded and 

VOTED : To concur with the President in the appointment of Dr. Eileen O'Neill as an associate 
professor in the Department of Philosophy at UMASS Amherst, with tenure. 

And further, 

to concur with the President in the appointment of Dr. Mario Stevenson as a full 
professor in the Department of Molecular Genetics and Microbiology at UMASS 
Worcester, with tenure. 

The next item was Awards of Tenure. UMASS Amherst, UMASS Boston . It was moved, seconded 
and 

VOTED : To concur with the President in the award of tenure to the following individuals in the 
following departments: 

Amherst 

David Buchanan, Community Health Education 

Nancy B. Fisk, College of Nursing 

Henry Geddes Gonzales, Communication 

Jane Giacobbe-Miller, Management 

Roderic Grupen, Computer Science 

Sally B. Hardin, College of Nursing 

John Hird, Political Science 

Sundar Krishnamurty, Mechanical Engineering 

David Loomis, Forestry and Wildlife 

Brenda E. Millette, College of Nursing 

Randall Phillis, Biology 

Clement A. Seldin, Teacher Education and Curriculum Studies 

Boston 

Mary Diane Arathuzik, College of Nursing 
Peter Kiang, College of Education 
Helen Reiskin, College of Nursing 

The next item on the agenda was Ph.D. in Nursing, UMASS Boston, UMASS Lowell (Stage II) . 
Trustee Poduska noted that this program is an excellent example of Intercampus collaboration. It was 
moved, seconded and 

VOTED : To approve the Stage II proposal for a joint Ph.D. in Nursing between the Boston and 
Lowell campuses of the University of Massachusetts. 

The next item was Engineering Task Force . Trustee Poduska asked Vice President Sessoms to 
comment on this item. Dr. Sessoms thanked the Board for suggesting that this Task Force be established 
as it has brought the campuses together by fostering strong programmatic collaboration among the 
Engineering Departments. Dr. Sessoms further noted that these recommendations should be seen as the 
fruits of the efforts of the Saxon Commission. He went on to review some of the details of the 
recommendations. It was then moved, seconded and 



-6- 



VOTED : To commend the Engineering Task Force for its progress in addressing and 
implementing the Future of Engineering Study Team's Report Recommendations with 
regard to the UMASS system and campuses. 



And, 



And, 



to ask the Task Force to continue its efforts in implementing the Recommendations of the 
Future of Engineering Study Team Report in conjunction with the Academic Advisory 
Council, and within the following parameters: 

— All new undergraduate or graduate engineering programs, not already approved by 
the Board, should be developed as collaborative, multi-campus programs. Exceptions 
my be recommended to the Committee on Academic and Student Affairs only where a 
campus can clearly demonstrate to the satisfaction of the Task Force that it can offer such 
a program without incurring additional costs, or can cover all new costs from internal 
reallocation, including program closures or reductions, and that it can meet standard 
criteria for program approval. 

— Present and future engineering programs should be developed utilizing no more than 
the present number of state-funded faculty positions in engineering within the 
University. An exception may occur where the addition of such a position is clearly 
intended to increase faculty diversity and such position is approved by the Board. 

— Where possible, new engineering facilities, except those already initiated and in the 
construction stage, shall include full distance education capacity and shall be supported 
by substantial non-state funding. 



to support the recommendations of the Task Force with respect to FY 1996 budget 
support for the UMASS Boston B.S. in Electrical Engineering and the two system-wide 
institutes as outlined in Doc. T94-074, Addendum 2, if in the judgment of the President, 
resources allow. 

And, 

to direct the President to report to the Board on the further progress of the Task Force at 
the June 1996 Board meeting. 

Chair Taylor turned to Trustee Spence for the report of the Committee on Administration and 
Finance. Trustee Spence thanked President Penney for her participation and leadership at the A&F 
Committee meeting where all of the action items were fully reviewed. The first item was the Two 
Biotech Park Lease, UMASS Worcester . 

It was moved, seconded and 

VOTED : To authorize the President subject to approval by the DCPO to amend the current lease 
between the University and the University of Massachusetts Foundation for 44.024 
square feet in Two Biotech Park to include approximately 30,000 additional square feet of 
space for expansion of research of research activity at an annual cost not to exceed 
$3,000,012.00. 

The next item was HEFA Loan, UMASS Boston, University Information Systems . It was moved, 
seconded and 



VOTED : To authorize the President or his/her designee to take action necessary to obtain 
financing from the Series E pool or other appropriate vehicle of the Massachusetts Health 
and Educational Facilities Authority (HEFA) not to exceed $2,400,000.00; or, in the 
alternative, to enter into a lease/purchase arrangement, in an amount not to exceed 
$2,400,000.00 through HEFA's Master Lease program; such financing shall be for the 
purpose of completing a fiber optic cable project, including equipment, installation and 
software upgrades for the Boston campus and for University Information Systems (UIS) 
in Central Administration, as described in Document T95-043, Addendum I. The 
allocation of this financing shall be $1.4 million for the Boston campus and $1.0 million 
for UIS, and these amounts shall be in addition to the amount authorized by the Board of 
Trustees on April 5, 1995, for the Amherst campus. 

The next item was A ppointment of Interim Chancellor, UMASS Boston . It was moved, seconded and 

VOTED : To concur with the President in the appointment of Jean MacCormack as 
Interim Chancellor of the University of Massachusetts Boston campus at an 
annual salary of $140,000, effective immediately, to serve at the pleasure of 
the President and the Board. 

Trustee Lewenberg then briefed the Board with information concerning athletic events and issues of 
concern to the Board, including the Division IA Task Force, the inclusion of the Title IX capital needs in 
The House Capital Bond Bill, and the Lowell Arena and Student Center. Some discussion on this last 
item occurred, and Trustee Lewenberg informed the Board that Trustee O'Leary had agreed to represent 
the Board on this issue in the coming months. 

Chair Taylor then moved on to the Other Business of the Board, the first item being the President 
Search Committee . Chair Taylor noted that he had announced his appointment of Trustee Lewenberg as 
chair of the search committee at the May 19 meeting of the Board, and Trustee Lewenberg has spoken 
with his Trustee colleagues regarding their participation on the search committee. Chair Taylor indicated 
that the Trustee membership on the Committee includes two students, and further stated that on Trustee 
Lewenberg's recommendations, other members of the University community would be appointed to the 
Committee. 

It was then moved, seconded and 

VOTED : Notwithstanding any other policy, procedure or past practice to the contrary, 

to ratify the appointment by the Chair of the Board of Trustees of the following 
Trustee members to the President Search Committee: 

Peter K. Lewenberg, Chair 
Brian Andriolo 
Derek C. Bok 
Heriberto Flores 
Michael T. Foley, M.D. 
Robert J. Haynes 
Robert S. Karam 
Myra H. Kraft 
Matthew Morrissey 
John M. Naughton 
James F. O'Leary 
John William Poduska 
Mary L. Reed 
Daniel A. Taylor, ex officio 

-8- 



Pursuant to the By-Laws of the Board of Trustees and with a view toward 
including on such Committee other members of the University community, 
including faculty and alumni, to ratify the authority of the Chair of the Board of 
Trustees to appoint such other members as he deems appropriate. 

Further, to charge the Search Committee to seek the best qualified candidates for 
the position of President of the University, to report periodically to the Board of 
Trustees regarding the Committee's progress and to recommend three candidates 
to the Board of Trustees. 

Chair Taylor then reiterated the importance of confidentiality throughout the search process, and 
asked the Board that they recognize Trustee Lewenberg as the spokesperson for the Board on this matter. 
Trustee Lewenberg then made remarks, stating that he is planning to meet with faculty to discuss the 
search process, and indicated that there is currently no deadline for the conclusion of the search. He 
stated that the committee should be fully established with five or six members in addition to the Trustee 
members, by the end of June and that summer meetings will likely be held. Trustee Lewenberg also 
stressed the importance of confidentiality during the search, and the importance of a single, 
representative voice. Trustee Lewenberg said that he would provide progress reports to the Board, 
anticipating that the committee will be into the process in July, and by the end of the summer the 
planning would be complete. 

Chair Taylor went on to thank the Board members and Trustee Lewenberg in particular for taking on 
the responsibility for the search for a new president. He further said that he, the entire Board, and 
President Penney will continue to move forward on the Action Plan, and that he sees this momentum as 
one way to assure strong candidates for the future President of UMASS. 

The next item under other business was the recognition of the service of the outgoing student 
trustees, Al Lizana for two years of service from UMASS Amherst, and Tim Purdy from UMASS Boston. 
Chair Taylor then introduced the two new student Trustees, Dan Rivera from UMASS Amherst and John 
Okray from UMASS Boston. 

Chair Taylor then recognized Secretary Robertson and her recent acceptance of the Presidency of 
Santa Monica College in California. He thanked the Secretary for all of her help, particularly in the 
difficult times of the past few years. 

He then offered the following motion: 

WHEREAS Piedad F. Robertson has served the needs of public 
education in the Commonwealth of Massachusetts since 1990 as 
Secretary of Education and Board member of the University of 
Massachusetts; 

WHEREAS her efforts in the reorganization legislation of 1991 led to the 
establishment of the five campus University of Massachusetts which 
continues to grow toward world-class status; and 

WHEREAS Secretary Robertson will be leaving her Cabinet position and 
her Trusteeship at UMASS to accept the Presidency of Santa Monica 
College; 

THEREFORE BE IT RESOLVED that the Board of Trustees of the 
University of Massachusetts expresses its appreciation and best wishes in 
her new position and future endeavors. 

-9- 



It was moved, seconded, and VOTED . 

Secretary Robertson then thanked the Board, and reflected on the growth and development of 
UM ASS since 1990, and wished the Board much success with future plans. 

Chair Taylor then asked for a motion to go into Executive Session to discuss Collective Bargaining. 
He indicated that the Board would not reconvene in open session. 

It was moved, seconded and 

VOTED : To enter Executive Session. 

Chair Taylor voted for the motion as did Trustees Andriolo, Bogan, Bok, Flores, Giblin, Haynes, Hoff, 
Karam, Kraft, Lewenberg, McNeil, Morrissey, Naughton, Poduska, Reed, and Spence. The time was 10:25 
a.m. 



QltMixkrtu 

Elizabeth Tu thill FarreH 
Assistant Vice President for 
Board Relations 



-10- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, August 9, 1995; 9:15 a.m. 

Fisher Recital Hall 

Durgin Hall 

South Campus 

University of Massachusetts 

Lowell, Massachusetts 

Trustees and Trustee Staff : Chair Taylor; Trustees Andriolo, Bok, Flores, Foley, Giblin, Haynes, Hoff, 
Kraft, McNeil, Naughton, Okray, Reed, Rivera, Sentance, Spence and Sweeney; Vice President/Secretary 
to the Board Boyd; Ms. Farrell, Assistant Vice President for Board Relations 

Trustees Absent : Trustee Bogan, Karam, Lewenberg, Morrissey, O'Leary, and Poduska 

University Administration : President Penney; Chancellors MacCormack, Scott, Cressy, Hogan and 
Lazare; General Counsel Kirby 

Faculty Representatives : Professors May, Knight, Phelan and Dr. Cooke. 

Chair Taylor convened the meeting at 9:30 a.m. The first item on the agenda was Consideration of 
the Minutes of the previous meetings of the Board. Without discussion, it was moved, seconded and 

VOTED : To approve the minutes of the June 7, 1995 meeting of the Board. 

The next item on the agenda was the Chair's Report . Chair Taylor welcomed the new student 
Trustees: Daniel Rivera from UMASS Amherst and John Okray from UMASS Boston. He also introduced 
Michael Sentance, Acting Secretary of Education. In Trustee Lewenberg's absence, he then informed the 
Board that the President Search is on a productive start and that the advertisements for the position 
should be posted in early September. 

The next item on the agenda was the President's Report . President Penney commented on her 
smooth transition into the Presidency. She then noted that Dr. Allen Sessoms has left UMASS to become 
President at City University of New York Queens College and Joseph Deck, former Interim Chancellor at 
the Dartmouth campus, has agreed to serve as Acting Vice President of Academic Affairs during this 
interim period. She also announced that Mark Schlesinger, former Assistant Chancellor at the Boston 
campus, has agreed to serve as Associate Vice President while Daphne Layton is on maternity leave. 

President Penney then briefed the Board on issues at the national level: including Affirmative Action, 
Financial Aid and Accreditation. 

She then went on to point out highlights of what has been happening on the five campuses which 
were included in the Chancellor's Reports. 

President Penney then asked Chancellor Scott to introduce Dr. Royster Hedgepeth, recently 
appointed as the incoming Vice Chancellor for University Advancement at the Amherst campus. 



President Penney then provided an update on the President's Action Plan including: 1) the University 
has narrowed the field of potential consultants to begin a major reengineering study for the University 
expected to begin sometime later this month; 2) the campuses have provided replacement plans for nearly 
700 early retirees; 3) preliminary campus reports are scheduled for December on reallocation; 4) the 
search for a permanent executive director of the UMASS Foundation has been put on hold; preliminary 
fund-raising reports indicate total private support to the system grew by 16% from last year; 5) a 
comprehensive report on Quality Improvement will be provided to the Board in October; 6) the 
University is investing $20 million in technology infrastructure across the system to facilitate new 
approaches to learning; 7) the Senate is expected to hold hearings on a higher education capital bill this 
Fall at which time the President will meet with Senate leadership to advocate for this legislation; 8) and 
the effort to have the Governor's Office help organize a joint State-University task force on state-imposed 
administrative/regulatory burdens by the end of the summer. 

The President then highlighted for the Board the rapidly growing pattern of inter-campus 
collaboration and cooperation. 

Chair Taylor then introduced the Board Consent Agenda. 

It was moved, seconded and 

VOTED : To approve the following votes listed as items #1-9 on the Board Consent Agenda: 

1. Clinical Management Board Minutes. April 27. 1995 (Doc. T95-075) 

a. Clinical Management Board Minutes. March 23. 1995 (Doc. T95-058) 

To approve the minutes with four corrections for the March 23, 1995 Clinical 
Management Board meeting. 

b. Credentialling 

To accept the Credentialling Reports as per the Hospital Executive Committee and 
Health Professional Staff Credentials Committee. 

2. Clinical Management Board Minutes. May 25.1995 (Doc. T95-075) 

a. Clinical Management Board Minutes. April 27. 1995 (Doc. T95-075) 

To approve the minutes of the April 27, 1995 Clinical Management Board meeting. 

b. Worcester C ity Campus Corporation 

WHEREAS the Board previously authorized the Chancellor of the Worcester campus to 
enter into an agreement with the Worcester City Campus Corporation (WCCC) whereby 
the University would transfer not more than $3,050,000 in exchange for the establishment 
and oversight by WCCC of an integrated delivery system which will include community 
hospitals such as Clinton and Marlborough Hospitals, and a primary care physician 
organization; provided that said system will accept the University of Massachusetts 
Worcester clinical operation as a tertiary care partner and will provide teaching sites for 
the University of Massachusetts Medical School and otherwise work with the University 
to enhance the University's mission; 



-2- 



I 



WHEREAS said agreement has been entered into by the University and WCCC; 

NOW, THEREFORE, BE IT RESOLVED to authorize the Chancellor of the Worcester 
campus to amend the aforementioned agreement by authorizing the transfer of an 
additional $4,700,000 in exchange for the continued development and oversight by 
WCCC of an integrated delivery system which will include but not be limited to 
community hospitals such as Clinton and Marlborough Hospitals, a primary care 
physician organization such as University Physician Partners, Inc., and a skilled nursing 
facility such as University Commons; provided that said system will accept the 
University of Massachusetts Worcester clinical operation as a tertiary care partner and 
will provide teaching sites of the University of Massachusetts Medical School and 
otherwise work with the University to enhance the University's mission. 

c. Emergency Departme nt Observation Unit 

To approve a proposal for $275,000 be made available for development and 
implementation of the Emergency Department Observation Unit. 

d. Credentialling 

To accept the Credentialling Reports as per the Hospital Executive Committee and 
Health Professional Staff Credentials Committee. 

3. Code of Student Conduct UMASS Amherst (Doc. T94-059. as amended) 

To approve the amendments to the Code of Student Conduct for the UMASS Amherst 
campus, as contained in Doc. T94-059, as amended. 

4. Advance R efunding of Building Authority Bonds 



WHEREAS 



WHEREAS 



University of Massachusetts Building Authority (the "Authority") is authorized by 
Chapter 773 of the Acts Of 1990, as amended, among other things, to issue bonds for the 
purpose of refunding all or a portion of outstanding bonds previously issued by the 
Authority; 

in the judgment of the Board of Trustees of the University of Massachusetts (the 
"Trustees") it is in the best interests of the University of Massachusetts (the "University") 
that the Authority issue bonds for the purpose of refunding certain of its previously 
issued and outstanding bonds as described below; 



NOW, THEREFORE. BE IT RESOLVED THAT 

1. The issuance by the Authority of bonds for the purpose of refunding all its outstanding 

Project Revenue Bonds, Series 1986- A and all its outstanding Project Revenue Bonds, 
Series 1988-A is hereby approved, and the President and the Vice President for 
Management and Fiscal Affairs and Treasurer of the University, each acting alone, and 
the designee of either of the foregoing, acting alone, be and hereby are authorized in the 
name and on behalf of the Trustees to approve in writing the issuance by the Authority of 
bonds for such purpose; and 



i 



-3- 



Said President and Vice President for Management and Fiscal Affairs and Treasurer, each 
acting alone, and all other officers of the University, each acting alone, be and hereby are 
authorized and directed to do all other things and to take such other action as the officer 
or officers so acting shall, as conclusively evidenced by the taking of the action hereby 
authorized, deem necessary or desirable to be done or taken to carry into effect the 
matters hereby authorized. 

That the making of a Contract for Financial Assistance, Management and Services 1986-A 
Project, 1988-A Projects and 1995-B Bonds between The Commonwealth of Massachusetts, 
acting by and through the Board of Trustees (the "Trustees") of the University of 
Massachusetts (the "University"), and University of Massachusetts Building Authority 
pursuant to Chapter 773 of the Acts of 1960, as amended, and pertaining to the issuance of 
bonds by the Authority for the purpose of refunding all of the Authority's outstanding 
Project Revenue Bonds, Series 1986-A, and all of the Authority's outstanding Project 
Revenue Bonds, Series 1988-A, which refunding issue was approved by the Trustees on 
August 9, 1995, be and the same hereby is authorized; that the Chairman of the Trustees, the 
Vice Chairman of the Trustees, the President of the University and the Vice President for 
Management and Fiscal Affairs and Treasurer of the University, each acting alone, be and 
hereby are authorized, in the name and on behalf of The Commonwealth of Massachusetts, 
to sign, seal with common seal of said University and of the Trustees, acknowledge if 
deemed advisable, and deliver a Contract for Financial Assistance, Management and 
Services 1986-A Project, 1988-A Projects and 1995-B Bonds substantially in the form 
presented to this meeting (subject to such changes, insertions and omissions as may be 
approved by the signer of such Contract on behalf of the Trustees and the signer of such 
Contract on behalf of the Authority) and providing for the issuance by the Authority of 
bonds in the maximum principal amount of $32,135,000; that the form of such Contract 
presented to this meeting and each term, condition and provision therein contained be and 
the same hereby are approved, subject to such changes, insertions and omissions as may be 
approved by the signer of such Contract on behalf of the Trustees and the signer of such 
Contract on behalf of the Authority; and that the execution of such Contract by the signer 
thereof on behalf of the Trustees shall be conclusive evidence (a) of the approval by such 
signer of any such changes, insertions or omissions and the authorization of the same and 
(b) that the form of such Contract so executed (with approved changes, insertions and 
omissions, if any) is as hereby authorized and approved. 

In addition to the authorizations granted by this resolution to the Chairman of the Trustees, 
the Vice Chairman of the Trustees, the President of the University and the Vice President for 
Management and Fiscal Affairs and Treasurer of the University, and without limiting any 
such authorizations, the Trustees, pursuant to Chapter 75, Section 3A of the Massachusetts 
General Laws and every other authority thereunto the Trustees enabling, hereby delegate to 
the President of the University and the Vice President for Management and Fiscal Affairs 
and Treasurer of the University, each acting alone, the power to do all acts and things and 
exercise all powers each such officer is authorized by this resolution to do or exercise, such 
delegation being intended to be commensurate with the authorizations granted to each such 
officer by this resolution, and such delegation being in the judgment of the Trustees 
necessary or desirable. 



-4- 



That the Chairman and Vice Chairman of and the President and Vice President for 
University Relations and Secretary to the Board of Trustees (the "Trustees") of the University 
of Massachusetts be and each such officer acting alone hereby is authorized, in the name and 
on behalf of The Commonwealth of Massachusetts, to sign by manual or facsimile signature 
the form of guaranty provided in the Contract for Financial Assistance, Management and 
Services 1986-A Project, 1988-A Projects and 1995-B Bonds between said Commonwealth, 
acting by and through the Trustees, and University of Massachusetts Building Authority 
dated as of August 1, 1995 on each bond issued by said Authority constituting a bond of the 
series identified as Refunding Revenue Bonds, Series 1995-B; in case any officer of the 
Trustees whose signature or facsimile signature shall appear on any such bond shall cease to 
be such officer before the delivery thereof, such signature or facsimile signature shall 
nevertheless be valid and sufficient for all purposes, the same as if such officer had remained 
in office until such delivery. 

That the making of a continuing Disclosure Agreement between the University of 
Massachusetts (the "University") and University of Massachusetts Building Authority (to 
which Continuing Disclosure Agreement The First National Bank of Boston, as Trustee 
under the Trust Agreement dated an of April 1, 1984, as amended, between the Authority 
and The First National Bank of Boston, as Trustee, may also be a party) pertaining to the 
Authority's Refunding Revenue Bonds, Series 1995-B, be and the same hereby is authorized; 
that the Chairman of the Board of Trustees (the "Trustees") of the University, the Vice 
Chairman of the Trustees, the President of the University and the Vice President for 
Management and Fiscal Affairs and Treasurer of the University, each acting alone, be and 
hereby are authorized, in the name and on behalf of the University, to sign, seal with 
common seal of the University, acknowledge if deemed advisable, and deliver a Continuing 
Disclosure Agreement substantially in the form presented to this meeting (subject to such 
changes, insertions and omissions as may be approved by the signer of such Agreement on 
behalf of the University and the signer of such Agreement on behalf of the Authority); that 
the form of such Agreement presented to this meeting and each term, condition and 
provision therein contained be and the same hereby are approved, subject to such changes, 
insertions and omissions as may be approved by the signer of such Agreement on behalf of 
the University and the signer of such Agreement on behalf of the Authority; and that the 
execution of such Agreement thereof on behalf of the University shall be conclusive 
evidence (a) of the approval by such signer of any such changes, insertions or omissions and 
the authorization of the same and (b) that the form of such Agreement so executed (with 
approved changes, insertions and omissions, if any) is as hereby authorized and approved. 

In addition to the authorizations granted by this resolution to the Chairman of the Trustees, 
the Vice Chairman of the Trustees, the President of the University and the Vice President for 
Management and Fiscal Affairs and Treasurer of the University, and without limiting any 
such authorizations, the Trustees, pursuant to Chapter 75, Section 3A of the Massachusetts 
General Laws and every other authority thereunto the Trustees enabling, hereby delegate to 
the President of the University and the Vice President for Management and Fiscal Affairs 
and Treasurer of the University, each acting alone, the power to do all acts and things and 
exercise all powers each such officer is authorized by this resolution to do or exercise, such 
delegation being intended to be commensurate with the authorizations granted to each such 
officer by this resolution, and such delegation being in the judgment of the Trustees 
necessary or desirable. 



-5- 



5. Current Refunding of Certificates of Participation (Doc. T95-082) 

Notwithstanding anything to the contrary in the vote of the Board of Trustees on August 
3, 1988, to authorize the President, or such other officer of the University as the President 
may designate, to arrange for the refinancing of University telecommunications 
equipment as described in Document T95-082, including the redemption of outstanding 
certificates of participation and the execution of a new or amended lease or leases of 
equipment, and to take any and all such actions as may be necessary or desirable to effect 
such refinancing. 

6. Revisions to the University Cash Management Policy (Doc. T92- 031. Appendix F. 
as amended) 

To approve the revisions to the Cash Management Policy as listed in Doc. T92-031, 
Appendix F, as amended. 

7. Department of Defense Exclusion List (Doc. T95-076) 

WHEREAS, current Department of Defense Regulations contain a provision making it 
mandatory that the Chairman of the Board, the President, the Secretary and the 
designated Facility Security Officer meet the personnel clearance requirements 
established for a contractor's facility clearance; and 

WHEREAS, said Department of Defense Regulations permit the exclusion from the 
personnel clearance requirements of certain members of the Board of Trustees and other 
officers, provided that this action is recorded in the minutes. 

NOW, THEREFORE, BE IT DECLARED that the Chairman of the Board, the President, 
the Secretary and the designated Facility Security Officer at the present time do possess 
or will be processed for the required security clearance; and 

BE IT RESOLVED that in the future, when any individual enters upon any duties as 
Chairman of the Board, the President, Secretary or other person designated as Facility 
Security Officer, such individual shall immediately make application for the required 
security clearance; and 

BE IT RESOLVED FURTHER that the following members of the Board of Trustees and 
other officers shall not have, and can be effectively excluded from access to all classified 
information in the possession of the University and do not occupy positions that would 
enable them to affect adversely policies or practices in the performance of classified 
contracts for the Department of Defense or the User Agencies of its Industrial Security 
Program: 

NAME TITLE 

Brian Andriolo Trustee 

Daniel E. Bogan Trustee 

Derek C. Bok Trustee 

Heriberto Flores Trustee 

Michael T. Foley, M.D. Trustee 

William E. Giblin Trustee 

Robert J. Haynes Trustee 

Charles J. Hoff Trustee 



-6- 



And further, 



Robert S. Karam Trustee 

Myra H. Kraft Trustee 

Peter K. Lewenberg Trustee 

Ogretta V. McNeil Trustee 

Matthew Morrissey Trustee 

John M. Naughton Trustee 

James F. O'Leary Trustee 

John J. Okray Trustee 

John William Poduska Trustee 

Mary L. Reed Trustee 

Daniel Rivera Trustee 

Rina K. Spence Trustee 

Timothy Sweeney Trustee 

8. President's Office Expenditures Report. FY94 (Doc. T95-077) 

To approve the President's Office Expenditures Report, FY94 (Doc. T95-077) 

9. External Auditor Engagement. UMASS Amherst (Doc. T95-078) 

To authorize the University Senior Director for Auditing and Fiscal Affairs to engage the 
firm of KPMG Peat Marwick as the independent external auditor for an audit of the plan 
administration of the Student Supplemental Health Benefits Plan, UMASS Amherst, for 
the plan year ending August 31, 1995. 



To approve charging the cost of the audit to the campus. 



The next item on the agenda was the report of the Committee on Academic and Student Affairs. 
Trustee McNeil reported that the discussion at that meeting was largely centered around tenure issues 
which that Committee will continue to focus on. 

Trustee McNeil then presented the items for action, the first being the Joint Ph.D. Program in 
Biomedical Engineering and Medical Physics, UMASS Worcester. It was moved, seconded and 

VOTED : To approve the Stage I proposal for a joint Ph.D. in Biomedical Engineering and Medical 
Physics at the University of Massachusetts Worcester and Worcester Polytechnic 
Institute, as contained in Doc. T95-090. 

The next item was M.A./Ph.D. in Afro-American Studies, UMASS Amherst . It was then moved, 
seconded and 

VOTED : To approve the Stage II proposal for an M.A. and Ph.D. in Afro-American Studies at the 
University of Massachusetts Amherst, as contained in Doc. T94-057, Addendum 1. 

The next two items were the approval of Appointments with Tenure r UMASS Amherst and 
UMASS Dartmouth and Awards of Tenure. UMASS Amherst. UMASS Boston. UMASS Dartmouth 
and UMASS Lowell . Trustee McNeil then informed the Board that the Committee had extensive 
discussion in Executive Session regarding the tenure cases presented to it. It was then moved, seconded 
and 



-7- 



VOTED : To concur with the President in the appointment of Dr. Guy Lanza as Director of the 
Environmental Sciences Program and as full professor in the Department of Food Science 
at UMASS Amherst, with tenure. 



And, 



And further, 



to concur with the President in the appointment of Dr. Timothy Lodge as a full professor 
in the Department of Polymer Science and Engineering at UMASS Amherst, with tenure. 



to concur with the President in the appointment of Dr. Brian Rothschild as full professor 
in the Department of Biology at UMASS Dartmouth, with tenure. 

(Doc. T95-088) 



And, 

VOTED : 



To concur with the President in the award of tenure to the following individuals in the 
following departments: 

Amherst 

Roberto Alejandro, Department of Political Science 

Helan Page, Department of Anthropology 

Jennie Traschen, Department of Physics & Astronomy 

Robert Wilson, Department of Hotel, Restaurant & Travel Administration 

Boston 

Cynthia Aber, College of Nursing 

Dartmouth 

Dana Fine, Department of Mathematics 

Emmanuel Ojadi, Department of Chemistry 

Eileen O'Neill, Department of Institutional Nursing 

Karen Payton, Department of Electrical and Computer Engineering 

Bal Ram Singh, Department of Chemistry 

Kathleen Suchon, Department of Management/Human Resources 

Lowell 

Haim Levkowitz, Department of Computer Science 
John Wooding, Department of Political Science 
Susan Woskie, Department of Work Environment 

(Doc. T95-089) 

Chair Taylor then turned to Trustee Spence for the report of the Committee on Administration and 
Finance. The first item was the Fiscal Year 1996 State Appropriation Allocation. 

It was moved, seconded and 

VOTED : To approve the following FY1996 state appropriation allocations: 

Amherst $167,759,944 



Boston 



61,856,065 



Dartmouth 



34,601,499 



-8- 



Lowell 53,713,433 

Worcester 26,621,795 

Donahue Institute for Governmental Service 527,533 

TOTAL $345,080,269 

Further, to authorize the President to make adjustments to the campus allocations for 
support of the President's Office and Central Administrative Services, to be reflected in 
the final allocation schedule submitted to the state. 

The next item was Rollback of FY1996 Student Fee Increases . Student Trustees Andriolo, Okray and 
Rivera all spoke to the impact of the rollback and the need to continue to strengthen the University's 
lobbying efforts. It was moved, seconded and 

VOTED : To approve the following revised Curriculum Support Fee rates for FY 1996 at the 
University of Massachusetts Amherst, Boston and Lowell campuses: 

Current FY96 Fee Revised FY96 Fee 

Amherst $2,092 $2,031 

Boston $1,896 $1,876 

Lowell $2,775 $2,646 

The next item was Financial Indicators Guidelines and Campus Targ ets. It was moved, seconded and 

VOTED : To approve the Financial Indicators Guidelines (Doc. T95-070) and further to 
approve the campus financial indicator targets for the year 2000, as outlined 
in Doc. T95-084. 

The next item was Conflict of Interest Policy . It was moved, seconded and 

VOTED : In accordance with section 14A of Chapter 75 of the General Laws to adopt 
the attached Policy on Conflicts of Interest Relating to Intellectual Property 
and Commercial Ventures for the Worcester campus, and to adopt said policy 
for the Amherst, Boston, Dartmouth and Lowell campuses subject to 
collective bargaining, provided that until said policy is agreed to by the 
parties to the applicable collective bargaining agreements, employees on such 
campuses shall continue to be governed by the provisions of Chapter 268A of 
the General Laws, as well as campus policies currently in effect, when 
engaged in research and technology transfer. 

President Penney then briefed the Board with information concerning the Lowell Arena . The 
Committee on Athletics had met on August 7 and discussed the on-going negotiations with the City of 
Lowell concerning the arena. It was the general consensus that the Committee be provided more 
information including a feasibility and operating analysis, and financial plans for the arena from the City. 
The City is in the process of preparing a re-design of the arena in light of the high bids on the first design. 
The redesign will be considered by the Committee when complete. The Chancellor congratulated the 
campus on the excellent working relationship it has developed with the City on this project. It was 
moved, seconded and 



-9- 



VOTED : To authorize the President or the President's designee to continue negotiations with the 
City of Lowell on a redesign of an arena for use (through a lease) by the University of 
Massachusetts Lowell, provided further that the President shall authorize the Chancellor 
of the Lowell campus to encumber funds on campus to be made available to fund the 
project in the amount of four million dollars over the next two years, provided that final 
commitment of the funding shall be subject to approval by the Board of Trustees. 

Trustee Haynes then gave the Audit Committee Report. The Committee had approved the 
President's Office Expenditures Report, FY94 and the External Auditor Engagement, UMASS Amherst. 
There had also been a presentation by Coopers & Lybrand: Audit Scope and Approach, 1995. As an 
informational item, the Committee and the Board has received a brochure: The Committee of Sponsoring 
Organizations of the Treadway Commission (COSO and The Institute of Internal Auditors Control 
Questions). There was also a report of the University Auditor's Office Status Report as of June 30, 1995. 

Chair Taylor then moved on to Other Business and announced the membership of the Nominating 
Committee as Trustee Haynes, Chair; Trustees Naughton and Reed. The Committee is charged with 
nominating candidates for election as officers of the Board of Trustees and chairs of the standing 
committees. 

He then introduced Professor Leo Richards, President of the Massachusetts Society of Professors at 
UMASS Amherst. Professor Richards spoke to the Board concerning the unfunded faculty contracts. 
Following Professor Richards' remarks, members of the Board expressed their frustration with the 
lengthy process involved and recommended that all members of the University work together to see that 
this issue is resolved. 

Trustee Foley informed the Board of the event on October 5 where Coach John Calipari would be 
voted Man of the Year by the American Liver Foundation. 

Chair Taylor then asked for a motion to go into Executive Session to discuss Collective Bargaining . 
He indicated that the Board would not reconvene in open session. 

It was moved, seconded and 

VOTED : To enter Executive Session. 

Chair Taylor voted for the motion as did Trustees Bok, Flores, Foley, Giblin, Haynes, Hoff, Kraft, 
McNeil, Naughton, Okray, Reed, Rivera and Spence. The time was 10:25 a.m. 




Elizabeth H. Tu thill Farrell 
Assistant Vice President for 
Board Relations 




-10- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, October 11, 1995; 9:15 a.m. 

V.I.P. Room, Mullins Center 

University of Massachusetts 

Amherst, Massachusetts 

Trustees and Trustee Staff : Chair Taylor; Trustees Andriolo, Bogan, Flores, Foley, Haynes, 
Hoff, Karam, Kraft, Lewenberg, Morrissey, Naughton, Okray, Reed, Rivera, Spence and 
Sweeney; Vice President/ Secretary to the Board Boyd; Ms. Farrell, Assistant Vice President for 
Board Relations 

Trustees Absent : Trustee Bok, Giblin, McNeil, O'Leary, Poduska and Sentance 

University Administration : President Penney; Chancellors MacCormack, Scott, Cressy, Hogan 
and Lazare; General Counsel Kirby 

Faculty Representatives : Professors May, Knight, Carroll, Phelen and Dr. Cooke 

Chair Taylor convened the meeting at 9:35 a.m. The first item on the agenda was 
Consideration of the Minutes of the previous meeting of the Board. Without discussion, it was 
moved, seconded and 

VOTED : To approve the minutes of the August 9, 1995 meeting of the Board. 

The next item on the agenda was the Chair's Report . Chair Taylor announced that 
President Penney would brief the Board in Executive Session as to the settlement the University 
has reached in principle with faculty bargaining groups at the four campuses last week and 
this morning with the professional unit staff represented by SEIU. Chair Taylor then read a 
letter to the faculty representatives from President Penney expressing her pleasure at the 
success the bargaining units have reached negotiating a collective bargaining agreement and 
her confidence that this contract will be supported by the Governor for submission to the 
Legislature. 

Chair Taylor then informed the audience of the action taken by the Committee on 
Administration and Finance last week voting to establish a two percent merit and 
reclassification pool which will be available to all employees in Fiscal Year 1998 to be 
disbursed under a plan developed by the Chancellors in consultation with employee 
representatives on each campus. These funds will be made available from University funds 
after implementation of the administrative redesign and academic restructuring plans. 

The next item on the agenda was the President's Report . President Penney reported on the 
Chancellor's reviews for Chancellors Cressy, Lazare and Scott. Each review committee will 
have three to four members and will be on campus to discuss their review. The campus visits 
and evaluations are expected to be completed by late December or early January. 

She also announced that the President's Office has contracted with Pappas Consulting/ 
KPMG Peat Marwick to conduct the University's administrative redesign project. The firm will 
begin their study by focusing on human resources, student services and financial reporting. 



Updated reports will be presented to the Board in February with a more comprehensive report 
in June. 

The President also reported on the work being done on enrollment management with 
attention being paid to the size and quality of entering classes and the retention of those 
students. 

President Penney then reported on yesterday's Committee of the Whole meeting. There 
were reports from the Chancellors on enrollments and SAT scores with final reports expected in 
December. The Chancellors had also reported on the progress of the Strategic Action Plan. 
There was also news of substantial increases in private fund-raising and a slight decrease in the 
undergraduate enrollment figures as the University seeks to increase quality. 

She then reported on the Departments and Programs Ranking in the National Research 
Council at UMASS Amherst. She asked Chancellor Scott to introduce the Chairs of each of the 
departments and the Dean of the five colleges. After the introductions Chancellor Scott 
pointed out the autographed books of poetry distributed to the Board by a renowned faculty 
member at UMASS Amherst, Professor James Tate. 

President Penney then highlighted other activities occurring on the campuses including: 
Coach Calipari's contract signing; UMASS Boston's process of completing their strategic plan; 
UMASS Dartmouth's Chancellor Cressy has engaged a regional economic development group 
with 60 CEO's in the Fall River, New Bedford region; UMASS Lowell's enrollment figures 
remained the same this year and occupancy in the dormitories rose to 92%, up from 69% from 
last year. Also, Chancellor Hogan had on display for the Board, a photograph of the new 
arena being constructed at Lowell. 

At UMASS Worcester there has been a lot of activity celebrating the 25th anniversary of 
the Medical School campus. President Penney also spoke of several positive projects happening 
at all the campuses. Of special notice was Chancellor Lazare's appointment by Governor Weld 
as Chair of the Citizen's Task Force on Adoption. Chancellor Lazare then gave a brief 
presentation on his work on the Task Force and the problems with adoption including excessive 
amounts of red tape and the lack of knowledge surrounding the issues. The Task Force is now the 
process of developing a Center for Adoption Research and Policy. Its mission will be to conduct 
and analyze policy and law regarding adoption and promote educational programs on adoption 
and foster care to advance the idea that every child is entitled to be raised in a permanent and 
loving home. The goal is to become a national center for adoption, research and policy. This 
project is a five-campus effort with cooperation from the Chancellors and Provosts. 

President Penney then updated the Board on legislative issues and current bills being filed 
on behalf of the University. Of particular interest is the $174 million capital bill. 

Chair Taylor then introduced the Board Consent Agenda . 

It was moved, seconded and 

VOTED : To approve the following votes listed as items "a" and "b" on the Board Consent 
Agenda: 

a. Clinical Management Board Minutes, Tune 22, 1995 (Doc T95-096) 

• Clinical Management Board Minutes, May 25, 1995 



-9- 



To approve the minutes of the May 25, 1995 Clinical Management Board 
meeting with one correction as noted. 

• Credentialling 

To accept the Credentialling Reports as per the Hospital Executive 
Committee and Health Professional Staff Credentials Committee. 

b. Department of Defense Exclusion List (Doc. T95-076, Addendum 1) 

WHEREAS, current Department of Defense Regulations contain a provision 
making it mandatory that the Chairman of the Board, the President, the 
Secretary and the designated Facility Security Officer meet the personnel 
clearance requirements established for a contractor's facility clearance; and 

WHEREAS, said Department of Defense Regulations permit the exclusion 
from the personnel clearance requirements of certain members of the Board of 
Trustees and other officers, provided that this action is recorded in the 
minutes. 

NOW, THEREFORE, BE IT DECLARED that the Chairman of the Board, 
the President, the Secretary and the designated Facility Security Officer at 
the present time do possess or will be processed for the required security 
clearance; and 

BE rT RESOLVED that in the future, when any individual enters upon any 
duties as Chairman of the Board, the President, Secretary or other person 
designated as Facility Security Officer, such individual shall immediately 
make application for the required security clearance; and 

BE IT RESOLVED FURTHER that the following members of the Board of 
Trustees and other officers shall not have, and can be effectively excluded 
from access to all classified information in the possession of the University 
and do not occupy positions that would enable them to affect adversely 
policies or practices in the performance of classified contracts for the 
Department of Defense or the User Agencies of its Industrial Security 
Program: 

NAME TITLE 

Michael Sentance Trustee 

The next item on the agenda was the report of the Committee on Academic and Student 
Affairs. In Trustee McNeil's absence, Trustee Poduska had chaired the Committee. In his 
absence, Chair Taylor gave the report. There had been a detailed presentation on the tenure 
process at each of the campuses which included the standards that are used to make the tenure 
recommendations. A report on the recommendation of tenure cases would be considered in 
Executive Session later in the meeting under Chapter 75 of the General Laws. 

There had also been an enrollment report with preliminary figures for 1995-96 which 
showed enrollments to be stable. Trustee Rivera and the President of the Amherst Student 
Government Association had presented a proposal to publish student evaluations of faculty. 
The Committee had encouraged the students to move the proposal through the proper campus 
procedures. 



Chair Taylor Ihen turned lo Trustee Spence for the report of the Committee on 
Administration and Finance. There had been a discussion on tuition and fees, and an update on 
capital activity throughout the University. 

The first item for action was Approval of the FY1996 Operating Budget . It was moved, 
seconded and 

VOTED: To approve the FY 1996 Operating Budget for the Amherst, Boston, Dartmouth, 
Lowell, and Worcester campuses, the System Administration, and the Maurice 
Donahue Institute for Governmental Services, as contained in Doc. T95-092. 

The next item was approval of the FY1997 State Budget Request . It was moved, seconded 
and 

VOTED: To approve the Budget Request Process and Guidelines (Doc. T95-093), which 
will be utilized in developing a request to the state for support in the next fiscal 
year. 

And further, 

To authorize the President to prepare and submit the FY 1997 State 
Appropriation request using approved Budget Request Guidelines and 
Principles. 

The next item was Approval of the FY1995 Treasurer's Investment Report . It was moved, 
seconded and 

VOTED: To accept the FY 1995 Treasurer's Investment Report as contained in Doc. T95- 
094. 

Chair Taylor then moved on to Other Business . The first item was a report of the President 
Search Committee given by Trustee Lewenberg. He reported there has been continued progress 
towards the selection of a new President and thanked the members of the Committee for all the 
time and dedication they have put into the process. The Committee is currently in the process 
of reviewing approximately 45 prospects of potential candidates and is looking at a target of 
the end of December to report to the Board. 

The next item was Approval of Amendments to the By-Laws . The amendment would allow 
non-voting Trustees to place items on the Committee and Board agendas. It was moved, 
seconded and 

VOTED: To approve the following amendments to the By-Laws of the Board of Trustees 
of the University of Massachusetts: 

Article II, Section 3 is hereby amended: 

By striking the word "voting'' in the last sentence. 

And further, 

Article III, Section 4 (a) is hereby amended: 

By striking the word "voting". 



Chair Taylor then asked Trustee Haynes to give the report of the Nominating Committee. 
Trustee Haynes reported that the Committee is recommending a flexible policy of rotating 
Committee Chairs to include more people in the decision making process and leadership among 
the Trustees. It is recommended that Committee Chairs serve no more than three years and 
that the Board institute a policy adding Vice Chairs to each Committee. In addition, there is 
a recommendation to reaffirm the need to have ad hoc committees for issues that crop-up on an 
ad hoc basis. 

Trustee Haynes also recommended the need for a Development Committee to be chaired by 
Trustee Hoff most likely beginning its informal work in the Spring. The External Affairs 
Committee will continue as an informal advisory role for the President and the Chancellors and 
will continue to be chaired by Trustee Karam. While Trustee Reed will be recommended for 
appointment as Chair of the Ad Hoc Committee on Personnel and Diversity, Trustee Rivera 
will become vice chair of that Committee. The Committee also recommended the creation of an 
Ad Hoc Committee on University Health Care chaired by Trustee Foley to a 120 day 
appointment. Trustee Haynes then thanked Trustees Naughton and Reed for their work on this 
report. It was noted that changes to the By-Laws will be brought to the Board in December. 

Trustee Naughton then spoke to the issue of appointing a second Vice Chair of the Board as 
is allowed in the By-Laws. Trustee Naughton said that many of the Trustees, in conversation 
with the Nominating Committee members, expressed an interest in having a second Vice Chair 
to continue to facilitate communication and leadership needed on a Board of this size. It was 
then moved, seconded and 

VOTED: To confirm and approve the Officers and Committee Chairs of the Board set 
forth in Doc. T95-103, all to serve until the next annual meeting of the Board. 

Chair Taylor then introduced Thomas Coish and Diane Dujon, representatives from the 
Service Employees International Union (SEIU), Frank Olbris, a representative from USA 
(University Staff Association) and Professor Deborah Carlin, a faculty member from the 
English Department at UMASS Amherst. Each person spoke of their frustration with the 
process of funding faculty and service workers contracts. 

Chair Taylor then asked for a motion to go into Executive Session to discuss Collective 
Bargaining strategy, tenure cases on individual faculty and honorary degree candidates. He 
indicated that the Board would reconvene in open session. 

It was moved, seconded and 

VOTED : To enter Executive Session. 

Chair Taylor voted for the motion as did Trustees Bogan, Flores, Foley, Haynes, Hoff, 
Karam, Kraft, Lewenberg, Naughton, Okray, Reed, Rivera and Spence. The time was 10:50 
a.m. 

At 11:25 a.m. the Board reconvened in open session. It was then moved, seconded and 

VOTED : WHEREAS the Board of Trustees recognizes that cost redeployments are 
necessary for the University to invest in its future in order to better serve the 
citizens of the Commonwealth; 

WHEREAS employees who are a key part of the process to implement such 
efforts should benefit from the successes achieved; 



-5- 



NOW THEREFORE BE IT RESOLVED: 

To establish at each campus (excluding Worcester) a Merit/ Reclassification 
Pool equivalent to two percent (2%) of the campus payroll excluding grants and 
contracts as of July 1, 1997. In accordance with a plan recommended by the 
Chancellor after consultation with representatives of affected employee groups 
and approved by the President, such pool shall be distributed to employees in 
the form of base rate increases, effective July 1, 1997, to reward meritorious 
performance and /or to effectuate the recommendations of relevant studies of 
employee classifications. 

It was then moved, seconded and 

VOTED: To award honorary degrees to those individuals agreed upon in Executive 
Session and to instruct the Chancellors to proceed with the necessary 
arrangements. 

Chair Taylor then informed the Board of an invitation from Chancellor Cressy to attend 
the UMASS Dartmouth and UMASS Boston football game this Saturday. 

There being no further business, the meeting was adjourned at 11:40 a.m. 

Elilibeth H. Tuthill Farrell 
Assistant Vice President for Board 
Relations 



■6- 



(revised 4/17/96) 

UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE SPECIAL MEETING OF THE 
BOARD OF TRUSTEES 

Tuesday, November 28, 1995; 9:00 a.m. 

Faculty Conference Room 

University of Massachusetts Medical Center 

Worcester, Massachusetts 

Trustees and Trustee Staff : Chair Taylor; Trustees Andriolo, Bogan, Flores, Foley, Giblin, Haynes, 
Karam, Kraft, Lewenberg, McNeil, Morrissey, Okray, O'Leary, Poduska, Reed, Rivera, Spence and 
Sweeney; Vice President/Secretary to the Board Boyd; Ms. Farrell, Assistant Vice President for Board 
Relations 

Trustees Absent : Trustees Bok, Hoff, Naughton and Sentance 

University Administration : President Penney; Chancellors MacCormack, Scott, Cressy, Hogan and 
Lazare; General Counsel Kirby 

Search Committee Members : Professors Burke, May, and Quaglieri; Alumni Member Morris 

Guests : Senate President William M. Bulger 

Chair Taylor called the meeting to order at 9:10 a.m. stating that the purpose of this special 
meeting was to hear the Report of the President Search Committee , and the Consideration of 
A ppointment of the President of the University of Massachusetts . Chair Taylor noted that each 
Trustee had a copy of the Search Committee's report in their meeting folders attached to which is the 
vote that was taken by the Search Committee on November 20, 1995. The Chair indicated that the 
Committee recommended three candidates, with the strong belief that William M. Bulger, 
Massachusetts' Senate President, was the best candidate for the position, and for that reason, Senator 
Bulger was invited to attend today's meeting to answer any questions. 

Chair Taylor then turned to Trustee Lewenberg, Chair of the President Search Committee. 
Trustee Lewenberg began by thanking the members of the Search Committee and the Search 
Committee staff for their dedicated work during the past six months. Trustee Lewenberg also 
commented on the problem of confidentiality, which was breached during the search process, and 
publicly apologized to any prospects who were harmed by that breakdown. Trustee Lewenberg then 
moved into highlights of his report (attached), including a description of the three strong candidates 
recommended to the Board. 

Trustee Lewenberg then made the following motion which was seconded: 

To appoint William M. Bulger as President of the University of 
Massachusetts and to authorize the Chairman to agree to the terms and 
conditions of said appointment with Mr. Bulger notwithstanding the 
provisions of any Trustee policy, provided that the annual salary for said 
appointment shall not exceed $189,000 and the effective date shall be a date 
in December, 1995 or January, 1996, as may be mutually agreed upon. 



There were then comments about the search and the candidates made by Search Committee 
members Michael Morris, Ernest May and Brian Andriolo. Trustee Flores also spoke. 

Chair Taylor then reread the motion and called for the vote which was ADOPTED by voice vote. 
Trustee McNeil is noted as opposing the motion. Chair Taylor also informed the Board that Trustees 
Hoff and Naughton, who were unable to attend the meeting today, had asked to be noted as 
supporting the motion. 

Chair Taylor then invited Senate President Bulger to the table to address the Board. The Senate 
President said that he was very happy to accept the offer made by the Board, and that he would 
resign in due course from the Massachusetts Senate. Mr. Bulger further spoke to his goals for the 
University, including academic excellence, strong faculty, academically strong student body, and 
sufficient funds for the educational tools and physical plant that will make UMASS a top institution. 
The Senate President thanked Trustees Taylor and Lewenberg, the members of the Search Committee 
and members of the Board, saying that he would strive to achieve these goals to further the excellence 
already in existence on the campuses. 

Chair Taylor then offered his thanks to Trustee Lewenberg and the members of the Search 
Committee, commending them on the deliberative process of the Search. 

Chair Taylor further acknowledged the extraordinary stewardship that had been given to the 
University under Acting President Sherry H. Penney. The Chairman listed all of the successful areas 
that the President was able to bring to closure over the past six months, and also noted the excellent 
working relationship that was built between the President and the Chancellors. Chair Taylor and all 
of the Trustees indicated their deep thanks to President Penney. 

Trustee Haynes then commented on the importance of celebrating this unique opportunity that 
the University had been given in the appointment of the new President, and encouraged the entire 
University community to move forward together. 

There being no further business before the Board, the meeting was adjourned at 9:40 a.m. 

Elizabeth H. Tu thill Farrell 

Asst. Vice President, Board Relations 




UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 



/863 



President Search Committee 
10 Tremont Street, 4th Floor 
Boston, MA 02 108 
(617) 287-7016 
FAX (617) 287-7017 

Peter K. Lewenberg, Chair 

Brian Andriolo 
Derek C. Bok 
Janet Burke 
Heriberto I lores 
Michael T. Foley, M.D. 
Daniel Ceorgianna 
Robert J. Haynes 
Robert S. Karam 
Myra H. Kraft 
Ernest D. May 
Michael W. Morris 
Matthew Morrissey 
John M. Naughton 
James F. O'Leary 
J. William Poduska, Sr. 
Philip L. Quaglieri 
Mary L. Reed 
Janet Stein 
Daniel A. Taylor 



REPORT OF THE PRESIDENT SEARCH COMMITTEE 



November 28, 1995 

On June 7, 1995, the Trustees of the University of Massachusetts 
ratified the appointment by its Chair, Daniel A. Taylor, of a 
President Search Committee. The Committee initially consisted of 
fourteen Trustee members, including two students. In the charge to 
the Committee, Peter K. Lewenberg, the Chair of the Search 
Committee, was asked to recommend to the Board Chair for his 
approval additions to the Search Committee from the University's 
faculty and alumni /ae. 

In carrying out this initial responsibility, Chair Lewenberg met with 
various groups of faculty and alumni/ae to request 
recommendations for these additional positions, and also contacted 
leaders of the faculty and alumni/ae governing bodies to garner 
their input. Chair Lewenberg subsequently recommended to Board 
Chair Taylor the appointment of five faculty members, one from 
each of the University's campuses, and one alumni/ae member. At 
that time, a Search office was established at 10 Tremont Street, 
separate from the President's Office and any of the five University 
campuses. Elizabeth Farrell served as Executive Assistant to the 
Search Committee, and Joyce Kirby acted as the Committee's 
counsel. 



Once the Committee had its full membership, it met and was divided into three 
working groups with specific charges: the Search Firm Subcommittee; the Position 
Profile Subcommittee; and the Compensation Subcommittee. The Committees 
were ably chaired by (respectively) Trustees Myra Kraft, Robert Karam and John 
Naughton. 

The Search Firm Subcommittee was assigned the responsibility of evaluating and 
choosing a Search Firm to aid the Committee in the Search process. The 
Subcommittee solicited proposals from fifteen well-recognized and diverse search 
firms and subsequently interviewed three. After extensive reference calling and 
discussion with John Phillips, Managing Partner of the A.T. Kearney, Inc., Education 
Practice, the Subcommittee recommended that firm to the Search Committee and it 
was retained. Mr. Phillips and his practice group worked diligently with the 
Committee to ensure the integrity of the Committee's work at each level of activity. 



The Position Profile Subcommittee produced the drafts of a position description of 
the Presidency for the Committee's approval. This Profile, which described the 
University of Massachusetts, its mission and its needs, outlined not only the specific 
talents and characteristics that the Search Committee believed to be essential in the 
person of the President, but also described the distinct five campuses of the 
University and its leadership, reported on the current and future plans of the 
Trustees and campuses and identified the constituencies of the University and their 
interests as they relate to the Office of the President. 

Once the Committee had extensively discussed several drafts of the Profile and 
approved the final draft, the Chair and several other members of the Search 
Committee attended numerous meetings with the University's many constituencies 
to review the Profile and provide an opportunity for people to share their thoughts 
on anything having to do with the search—from process to the specifics of the Profile. 
With the help of the faculty members on the committee and the student Trustees, 
open meetings were held at each of the five campuses, and the Chair also attended a 
meeting of the UMASS Amherst Alumni /ae Association. The Committee" Chair also 
had individual conversations with each of the campus chancellors and many 
individuals across the five campuses, as well as the staff of the President's Office in 
Boston. Each of these meetings produced comments that were very helpful in the 
Committee's formulation of a clear direction to follow regarding the Search and, in 
some cases, also identified broader campus concerns to be considered in selecting 
candidates. The Committee members also met with a number of state legislative 
and business leaders, including the Legislature's Black Caucus, affording the 
Committee further insight as to the perception in those groups of the University's 
direction and leadership needs. 

In September, the Compensation Subcommittee reviewed the areas necessary for 
the negotiation of terms of employment. This Subcommittee made 
recommendations to the Chairman of the Committee based on national peer 
comparisons for similar system positions and current compensation practices for the 
Chief Executive of the University. The Subcommittee used data provided by the 
office of the Board of Trustees and the search firm, A.T. Kearney, in making its 
report to the Chairman of the Search Committee and, subsequently, to the Chair of 
the Board of Trustees for use in employment negotiations. 

In keeping with Affirmative Action Policies of the University, the Committee 
approved an employment advertisement which was placed in four national 
education publications: The Chronicle of Higher Education, (September 15 and 29); 
the American Council on Education publication, Women in Higher Education 
(October 1); Black Issues in Higher Education, (September 21); and Hispanic 
Outlook in Higher Education (September 29); and one national newspaper, The Wall 
Street Journal (September 19, 1995). The Committee sent out approximately 1,500 
letters with appropriate materials including the Position Profile during the week of 
September 18 to leaders of the higher education, business and philanthropic 
communities nationwide, as well as to state and federal government representatives 



and officials, seeking input on the presidency and nominations of persons who fit 
the Profile. The Search Firm also made hundreds of additional contacts by 
telephone in an effort to reach the broadest group possible in an attempt to produce 
nominations and candidates. 

At the start of the Search, the Committee asserted that the position would remain 
open until the best qualified candidate was identified and approved by the Board of 
Trustees; therefore, no deadline date was imposed on either nominations or letters 
from interested individuals. After the interview pool had been identified (October 
30, 1995), and the Committee felt confident that a strong and talented leader would 
be chosen from among that pool, further correspondence from nominators and 
candidates was not considered. 

Beginning in June, nominations and letters of interest were received in the Search 
Office. In total, 92 letters of nomination were received. Of those nominated, 16 
individuals responded affirmatively to their nomination and their candidacy was 
activated. In response to the advertisements, 56 letters of interest -from non- 
traditional and traditional academic candidates were received, bringing the total 
number of candidates on October 27 to 72 people. This correspondence was kept in 
a secure office located away from the President's Office and the University's 
campuses in order to ensure confidentiality for all individuals who had expressed 
interest. All Search Cormriittee members were invited to visit the Search office, and 
availed themselves of the opportunity, to review all of the candidates' files. 

On October 20, the Search Committee met and reviewed the then current list of 65 
candidates, with one additional candidate certain to forward materials within the 
next few days, bringing the total number of candidates considered at that meeting to 
66. The Committee, using evaluations based on the Position Profile, then agreed on 
14 candidates from whom they would request additional materials for further 
consideration. Of these 14 individuals, one was a woman; seven individuals were 
from an academic background, three were from business, and four were from 
government (three federal and one state). The Committee reconvened on October 30 
to reconsider these fourteen individuals (one of whom declined further interest in 
the position), and to select an interview pool. The Committee further considered six 
additional candidates (which brought the total number of candidates to 72) whose 
information had been received in the interim. Four of those candidates had 
academic experience (one of these individuals was thought to be minority), and two 
had major leadership roles in the business community. The Committee, therefore, 
considered 19 individuals on that day. 

After extensive conversation, the Committee agreed to offer interview opportunities 
to seven individuals, five with academic backgrounds, and two from government. 
Of these individuals, one was female and one was from an under-represented 
minority population. Five interviews were eventually conducted. 



The interviews were conducted on three separate days, November 5, November 15 
and November 20. At the conclusion of the meeting on November 20, the 
Committee, by unanimous vote of the 18 members present, made its 
recommendation of three names to the Board of Trustees. These were (in 
alphabetical order) Michael Baer, William Bulger and Charles Manning. 

It was the consensus of the Committee that any of these three individuals would 
provide strong, able and talented executive leadership to the University of 
Massachusetts. The Committee did feel that there was one standout candidate 
among the three, and felt compelled to make its recommendation to the Board of 
Trustees conveying the Committee's strong belief that William M. Bulger, President 
of the Massachusetts State Senate, would be the best choice for the position of 
President of the University of Massachusetts. 

I am pleased to report that this Search- process was conducted with the goal of being 
as inclusive and expansive as possible from start to finish. This is evidenced by the 
visits to campuses, alumni/ ae and legislative meetings, as well as the extensive 
number of contacts by letter and telephone during the solicitation of candidates. I 
believe that the members of the Search Committee acted deliberately and objectively 
in seeking the best candidates for the position and I believe this is demonstrated by 
the excellence of the three names before you. 

Finally, I want to offer my thanks and appreciation to the members of the Search 
Committee and staff for the invaluable time and effort they gave throughout this 
process. Every person involved in this Search provided untold hours of personal 
time to reflect on, deliberate, and select what we believe to be an outstanding set of 
candidates. 



Respectfully submitted, 





Peter K. Lewenberg 

Trustee and Chair, President Search Committee 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, December 6, 1995; 9:15 a.m. 

Faculty Conference Room 

Medical Center 

University of Massachusetts 

55 Lake Avenue North 

Worcester, Massachusetts 

Trustees and Trustee Staff : Chair Taylor; Vice Chair Haynes; Vice Chair Karam; Trustees Andriolo, 
Bogan, Foley, Giblin, Hoff, Lewenberg, Kraft, McNeil, Morrissey, Naughton, O'Leary, Okray, Poduska, 
and Sweeney; Vice President/ Secretary to the Board Boyd; Ms. Farrell, Assistant Vice President for Board 
Relations 

Trustees Absent Trustees Bok, Flores, Reed, Rivera, Sentance and Spence 

University Administration : President Penney; General Counsel Kirby; Chancellors Cressy, Hogan, 
MacCormack, Lazare and Scott 

Faculty Representatives : Professors May, Knight, Carroll, Phelan and Dr. Cooke 

Chair Taylor convened the meeting at 10:00 a.m. The first item on the agenda was Consideration of 
the Minutes of the previous meeting of the Board. 

It was moved, seconded and 

VOTED : To approve the minutes of the October 11, 1995 meeting of the Board. 

The next item on the agenda was the Chair's Report . Chair Taylor reported on the Draft Trustee 
Goals for 1996 distributed at today's meeting. The goals are important to accomplish and continue 
assessment of policies which reflect the appropriate distribution of powers and responsibilities among the 
Board, the President and the Chancellors. The goals are expected to be accomplished in part or in whole 
in the coming year. Chair Taylor then asked Trustee members to submit comments to him by the next 
Board meeting. 

The next item on the agenda was the President's Report . President Penney reported that Chancellor 
Scott had produced a most impressive annual report called "Teaming with Success" and that Cady 
Coleman an Amherst alum had participated last month on the 16 day mission of the Space Shuttle 
Columbia. There was also an annual Chancellor's Report from UMASS Boston highlighting the campus's 
commitment to learning and service. There was a very successful and complimentary accrediting review 
by the New England Association of Schools and Colleges at UMASS Boston. At UMASS Dartmouth there 
was a report by U.S. News and World ranking the campus as a top-tier (first quartile) regional university 
among 146 northern universities; the campus was also ranked as one of the top 25 college buys in the 
northeast by Money magazine. At UMASS Lowell there was impressive growth in the grant and contract 
activity, $18.9 Million, about a 20% increase from the previous year. At UMASS Worcester there were 5 
programs evaluated and ranked well by the National Research Council showing improvement over the 
last five years; three of the graduate programs, biochemistry and molecular biology, cell and 
development biology, and physiology ranked in the top one third nationally. 



President Penney also reported that the President's Office and the Boston campus led a collaboration 
with Amherst and Lowell to win a $1 million grant from the U.S. Department of Comment which will 
establish a Center for Environmental Technology Cooperation to help promote the export of 
Massachusetts and American environmental technology products and services abroad. She also reported 
on a legislative Academy sponsoring two educational programs for state legislators and the success of the 
Washington, D.C. event involving Chair Taylor and Vice Chair Karam, staff and students meeting with 
the University's Congressional delegation. President Penney then reported on the activities at yesterday's 
Committee meetings. 

The President then shared with the Board the results of the Saxon Commission follow-up event. 
David Saxon, many members of the Commission, current and former Board members, Chancellors and 
legislators met to assess how far the University and Commonwealth had come in implementing their 12- 
point agenda for building a world-class public university in Massachusetts. At the end of the session it 
was concluded that there was still some unfinished business the University needed to attend to. 

Trustee Foley then requested that the Chancellors report on their campus activities at future Board 
meetings. 

Chair Taylor introduced the Consent Agenda. It was moved, seconded and 

VOTED : To approve the following votes listed as items #la, lb, 2a and 2b on the Board Consent 
Agenda: 

1. Clinical Management Board Minutes, September 14, 1995 (Doc. T95-112) 

a. Clinical Management Board Minutes, Tune 22, 1995 

To accept the June 22, 1995 Clinical Management Board meeting minutes with 
two corrections noted during the Finance Committee approval of minutes. 

b. Credentialling 

To approve the Credentialling Reports as per the Hospital Executive Committee 
and Health Professional Staff Credentials Committee. 

2. Clinical Management Board Minutes, October 12,1995 (Doc. T95-113) 

a. Clinical Management Board Minutes, September 14, 1995 

To approve the minutes of the September 14, 1995 Clinical Management Board 
meeting as recorded. 

b. Credentialling 

To accept the Credentialling Reports as per the Hospital Executive Committee 
and Health Professional Staff Credentials Committee. 

c Student Senate Constitution, UMASS Dartmouth 

To approve the amendments to the Student Senate Constitution at UMASS 
Dartmouth, as contained in Doc. T95-095. 

d. Residency Status for Tuition Classification Purposes 



-2- 



To approve the amendments, as indicated in Doc. T95-019, Residency Status for 
Tuition Classification Purposes, Part IV (Appeals). 

e. Student Legal Services, UMASS Amherst 

WHEREAS, the authorization for limited litigation authority for the Student 
Legal Services Office, granted by the Board of Trustees on December 1, 1993 in 
Trustee Document T93-059 Addendum 1, shall expire on December 15, 1995 
unless the Board of Trustees acts affirmatively to continue litigation authority; 
and 

WHEREAS, the President and Chancellor have reviewed the operations of the 
office, 

NOW, THEREFORE, IT IS HEREBY RESOLVED: 

that the authorization by this Board for the Student Legal Services Office on the 
Amherst campus to provide representation in litigation on behalf of students in 
certain situations, which is contained in Trustee Document T93-059, Addendum 
1, is hereby extended until December 15, 2000 under the same terms and 
conditions as stated in said Trustee Document, unless and until this Board 
affirmatively modifies or terminates said authorization. 

The next item on the agenda was the Report of the Committee on Academic and Student Affairs. 
Trustee McNeil reported that the Committee had met the day before and were delighted to hear as part of 
the President's Report, that the Afro-American Studies Program at UMASS Amherst and the MAT 
program at UMASS Dartmouth were approved by HECC (Higher Education Coordinating Council) in 
October and the UMASS Boston and UMASS Lowell joint Ph.D. in Nursing was approved in November. 

Trustee McNeil then reviewed the President's Report to the Committee which included information 
on new joint programs with community colleges being promoted, duplication of existing certificate and 
degree programs are being examined and a telecommunications working committee is being formed. A 
Massachusetts Higher Education week has been established and will be celebrated in April, 1996. The 
President had also announced to the Committee that HECC is working with the University on minimum 
admission standards. 

Trustee McNeil then spoke of the three items already voted on the Consent Agenda, Student Senate 
Constitution, UMASS Dartmouth, Residency Status for Tuition Classification Purposes and Student Legal 
Services. 

Trustee McNeil then informed the Board that Vice President Deck had reported on the status of 
Academic Program Review . This item will come to the Board in February for further action. It was 
moved, seconded and 

VOTED : That the Board of Trustees acknowledges the progress being made in the program review 
process and authorizes and directs the President to continue the process and to take any 
actions appropriate and necessary through the Chancellors to implement the outcomes of 
the review and to report back to the Board at its February meeting. 

Trustee Okray voted against the motion. 



Trustee McNeil then informed the Board that the Committee had discussed Enrollment Information 
for the Fall, 1995, Enrollment Management Initiatives and Technology Transfer Programs. 

The next item on the agenda was the report of the Administration and Finance Committee. Acting 
Chair Haynes reported that the FY1995 University Financial Report Presentation had been very 
informative and helpful particularly due to the use of financial indicators. The indicators show the 
University as being financially sound and improving since the beginning of FY1995. Of particular interest 
was the progress UMASS Dartmouth made in the last two years. It was moved, seconded and 

VOTED : To accept the FY 1995 Financial Report, as contained in Doc. T95-114. 

Trustee Okray then spoke on his two proposed items, Roll Back of Parking Fee and Administering of 
the Campus Center, UMASS Boston, both of which were withdrawn. It is expected the Campus Center 
issue will be a subject on February's agenda of Administration and Finance and the Parking Fees will be 
part of the fee package in the Spring. 

Chair Taylor then commended the Trustees and the Administration for the attention being paid to 
financial reporting. Trustee O'Leary then requested that the 1995 Financial Statement Presentation report 
be distributed to all members of the Board for their review. 

Chair Bogan then gave the report of the Committee on Athletics. The Committee had met on 
November 7th. The Committee had heard highlights of some of the campus' successes over the last year, 
a presentation of Annual Reports and an overview of Campus Title IX activities. Trustee Bogan then 
pointed out the positive academic performance of the Men's Basketball team at UMASS Amherst. 

The Committee had also heard two success stories from the UMASS Lowell campus and Trustee 
Bogan asked that the articles be distributed to the full Board. The Committee heard an update on the 
Lowell Arena and legislation for the multi-campus Title IX funding request. This brought up a discussion 
concerning the DCPO (Department of Capital and Planning Operations) and the need to look at the 
effectiveness of current capital procedures. It was pointed out that the MacCormack Institute would be a 
good place to have this studied. 

Trustee Lewenberg then thanked the Committee for the support they provided while he chaired the 
Committee and commended the Athletic Directors on the campuses for keeping the students interests the 
priority. 

Trustee Giblin then gave a report of the Audit Committee. He mentioned the action items already 
voted on by the Consent Agenda. He also spoke of the excellent work by David Wolcott, Director of 
Auditing and stated that he looked forward to chairing the Committee in the future. 

Trustee Karam then gave a report of the Committee on External Affairs. Trustee Karam reported that 
the Committee had met to discuss a major fundraising event to be held in the spring of 1996. The 
Committee discussed a theme for the event, "Celebrating Excellence at UMASS." The goal would be to 
raise money for the Commonwealth Scholar/ Honors Student Fund. 

Trustee Karam also pointed out that Trustees not wishing to be involved in the actual fundraising 
process could help coordinate the details of the event. 

Chair Taylor then moved on to Other Business . The first item was Amendments to the By-Laws 
which was a housekeeping item reflecting the recommendations of the Nominating Committee in 
October. General Counsel Kirby then pointed out the significance of the amendments. It was moved, 
seconded and 



-A- 



VOTED : To approve the following amendments to the By-Laws of the Board of Trustees of the 
University of Massachusetts: 

Article II, Meetings of the Board, is hereby amended in the following manner: 

Section 4 

By striking the words "at least twenty-four hours" in the last sentence. 

Section 6 

By renumbering Item VIII as Item IX; and 

By adding a new Item VIII, as follows: 

"VIII. Consideration of Honorary Degrees (where applicable)" 

Section 7(e)(ix) 

By striking the words "concurring with the President's"; and 

By replacing the word "awarding" with the word "award". 

Article HI, Committees of the Board, is hereby amended in the following manner: 

Section 1 

By replacing the word "six" with the word "seven"; and 

By replacing the word "and" after the words "Audit Committee" with a comma; and 

By adding the words "and the Development Committee" at the end of the Section. 

Section 2(a) 

By adding the words "and may elect Vice Chairs of said committees," after the words 

"standing committee," in the first sentence. 

Section 2(b) 

By adding the words "of the Board of Trustees," after the words "Vice Chair(s),". 

Section 5(a) 

By striking the words "including but not limited to:"; and 

By striking Sections 5(a)(i)-(iv). 

Section 5(b) 

By replacing the period at the end of Section 5(b)(iv) with a semi-colon; and 

By adding a new Section 5(b)(v), as follows: 

"v. economic development, technology transfer, industry sponsorships and partnerships." 

Section 5(f) 

By replacing the words "relationship outside the University including but not limited to:" 

with the words "government relations and advocacy."; and 

By striking Sections 5(f)(i)-(iii). 

Section 5 - New Subsection 

By adding a new Section 5(g), as follows: 

"g. The Development Committee shall have the responsibility of considering, reviewing 

and making recommendations to the full Board on matters relative to fundraising and 

development policies and initiatives, including but not limited to fundraising goals for 

campuses and the University, reports on fundraising policies concerning the 

Foundation(s)' relationship to the University and policies on acceptance of gifts." 



-5- 



Section 6 - New Section 

By adding a new Section 6, as follows: 
Section 6 - Committee of the Whole 

The Chair may convene the Board as a Committee of the Whole to discuss, review, 
consider and receive information concerning any matters affecting the University. The 
Secretary shall send a written notice of the time and place of the meeting by mail to each 
member at least eight days prior to such meetings. A written agenda of matters to be 
considered shall be included with said notice. Items to be included in the agenda shall be 
determined by the Chair upon recommendation of the President. 

The Chair may assign a member to chair a meeting of the Committee of the Whole or 
may chair the meeting. A quorum of the Committee shall be nine members and any 
action taken by the Committee shall be forwarded as a recommendation to the full Board. 

Members of the public wishing to speak on an agenda item shall forward a request to the 
Secretary no later than twenty-four hours prior to a meeting. The Chair shall have 
complete discretion in granting or denying request to speak. 

The next item on the agenda was the Worcester City Campus Corporation d/b/a UMASS Health 
System . Dr. Russo then gave some background information on each member of the Board of the 
Worcester City Campus Corporation. It was moved, seconded and 

VOTED : To elect the following individuals (currently serving) to the Board of the Worcester City 
Campus Corporation d/b/a UMASS Health System; those so designated shall be officers 
of the Corporation and the Board of Directors shall consist of at least six members: 

Arthur R. Russo, M.D. President 

Stephen W. Lenhardt Treasurer 

Derrick Hollings Clerk 

Michael Greene 
Marilyn Plue 
Michael Hogan 

Trustee Foley then requested that each Chancellor review his or her campus policy on smoking and 
whether or not a University-wide policy needs to be brought before a committee. General Counsel Kirby 
pointed out that there is a state law prohibiting smoking on campus. 

Trustee Foley then asked that the University officially welcome Mr. James Carlin, newly-elected 
Chairman of the Higher Education Coordinating Council and former member of the Board. Chair Taylor 
informed the Board that he had written a letter of welcome and President Penney has put together a 
package of materials detailing the state of the University. 

Chair Taylor then introduced Mr. Frank Olbris, a representative from USA (University Staff 
Association) who spoke before the Board on the matter of collective bargaining. 

Chair Taylor then asked for a motion to go into Executive Session to discuss tenure cases on 
individual faculty and strategy with respect to Collective Bargaining. He indicated that the Board would 
not reconvene in open session. 



-6- 



Chair Taylor voted for the motion as did Trustees Bogan, Foley, Giblin, Haynes, Hoff, Karam, Kraft, 
Lewenberg, McNeil, Naughton, O'Leary, Okray, and Poduska. The time was 10:50 a.m. 



Elizabeth H. Tuthill FarrellV 
Assistant Vice President for 
Board Relations 



-7- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
SUBCOMMITTEE ON PERSONNEL AND DIVERSITY 

Wednesday, March 1, 1995; 2:00 p.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Reed; Assistant Vice President Farrell 

Committee Members Absent : Trustees Giblin and Hoff 

University Administration : President Hooker; Chancellors Cressy, Hogan, Lazare, Penney and 
Scott; General Counsel Kirby; Vice President Sessoms; John Bush, Special Assistant to the 
Chancellor, UMASS Dartmouth; Charles Diggs, Acting Director of Affirmative Action, UMASS 
Boston; James Wells, Associate Chancellor, Affirmative Action and Equal Opportunity, UMASS 
Worcester; Kevin Barrett, Affirmative Action Officer, President's Office 

Chair Reed convened the meeting at 2:10 p.m. The first item for discussion was the Review 
of Affirmative Action Plans and Diversity Initiatives at UMASS Boston. Chancellor Penney 
reported that there is currently a search going on for a permanent Director for the Office of 
Affirmative Action and the committee is being chaired by Hubie Jones of the McCormack 
Institute. The Chancellor then went on to review the areas of students, faculty and staff, the 
particular numbers of underrepresented populations in those areas and various initiatives that 
address increasing these numbers, support programs, outreach initiatives and retention. She 
further described activities in the admissions department as well as the Minority Business 
Assistance Center. Chancellor Penney indicated that the bulk of the funding for these programs 
is federal. The greatest challenge for the campus is in the area of federal financial aid and the 
impact of welfare reform as the campus currently enrolls approximately 400 AFDC students. 

Regarding President Hooker's Action Plan, Chancellor Penney noted that the campus is still 
unsure about how early retirement will impact on their ability to increase the number of minority 
and female faculty since the refill number is not yet settled. In regard to the proposed 
Commonwealth Scholars Program, Chancellor Penney noted that the campus has some difficulty 
with the current guidelines for awarding the scholarships as it may impact on access; President 
Hooker indicated that the program is not yet finalized and that campuses are encouraged to set 
up a "pilot" program for the coming year. 

Charles Diggs, Acting Director for the Affirmative Action Office then described recent 
activities with the Purchasing Office to increase the number of minority vendors. Mr. Diggs 
indicated that this type of collaboration is very positive, and they hope to continue this and 
increase it across all departments. 

The next campus for Review of Affirmative Action Plans and Diversity Initiatives, was 
UMASS Dartmouth . Chair Reed expressed her concern at the campus' lack of utilization data 
and asked that they return to this Committee in late June for an update. Dr. Bush noted that they 
are working with the other campuses, in particular UMASS Amherst, to develop the mechanisms 
for analysis of the data. He noted that though the campus has not used utilization data, they 
have focused on hiring in areas that are underutilized on campus. A significant issue is the 
staffing of these programs, and the campus is in the process of hiring an Assistant Vice 



Chancellor for Diversity. They have also recently hired an Institutional Researcher. Chair Reed 
reiterated her concern for the reporting data, and noted that she would like to see a timetable for 
the campus' plans. Provost Taggie reported that the campus personnel searches have also been 
lacking in this area and they plan to put guidelines in place that will greatly improve the process. 

Dr. Bush then reviewed the initiatives that the campuses have in place, such as Diversity 
Week, and the College Now program. He indicated that much of the funding for the campus- 
wide activities comes from internal departments. In the area of College Now, the campus plans 
to devote more funds to retention, mentoring and scholarships. Provost Taggie indicated that it 
is too early to see the impact of welfare reform, and they see the University's early retirement 
program as an opportunity to improve faculty diversity. Chancellor Cressy reiterated the 
importance of staffing the area of Affirmative Action, and reviewing priorities in this area. Chair 
Reed asked Chancellor Cressy for a plan for staffing and monitoring the Affirmative Action office 
to be presented to this subcommittee in June. 

Vice President Sessoms then added that the University system has many of these issues in 
sight as studies in engineering, student activities and student quality are being conducted. 

The next campus to Review Affirmative Action Plans and Diversity Initiatives, was 
UMASS Worcester . Chancellor Lazare began by identifying some of the specific challenges that 
the Medical School faces regarding applicants for student and faculty positions from 
underrepresented groups. Mr. Wells then presented data in the areas of faculty, non-faculty and 
medical students. The Medical Center has made progress in increasing the number of senior 
women in faculty and leadership positions, but still needs to make progress in all areas. 
Chancellor Lazare indicated that the campus doesn't see any negative or problematic issues 
stemming from the President's Action Plan. 

* - 

Chancellor Scott then addressed the issue of the proposed Commonwealth Scholars Program, 
indicating that the lateness of the program makes it very difficult for this year, and the current 
criteria covers a very limited group of students. 

Chancellor Hogan then reported to the Committee that the Lowell campus sees the Early 
Retirement program and the President's Action Plan as a great opportunity for Lowell in the area 
of hiring underrepresented faculty. They are also focusing on their retention programs as a 
means for recruiting minority students and retaining them through graduation. 

There was further discussion regarding faculty and staff recruitment strategies. Mr. Diggs 
indicated that Cynthia Farquhar at UMASS Boston has a number of programs that are applicable 
in this area. Chair Reed encouraged the campuses to use each other's resources. 

The meeting was adjourned at 3:35 p.m. 



Elizabeth H. Tuthill Farrell 

Assistant Vice President, Board Relations 



-2- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AD HOC COMMITTEE ON PERSONNEL AND DIVERSITY 

Thursday, November 9, 1995; 3:00 p.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Reed; Vice Chair Rivera; Trustee Giblin; Ms. DeVico, 
Staff Assistant 

Committee Members Absent : Trustee Hoff 

University Administration : President Penney; Mr. Barrett, Labor Relations Assistant; Provost 
Taggie 

Campus Affirmative Action Representatives : UMASS Amherst: Dr. Tillis and Ms. Carr; 
UMASS Boston: Mr. Diggs and Ms. Blair- Farquhar; UMASS Dartmouth: Mr. Smith; UMASS 
LowelJ: Ms. Lyman; UMASS Worcester: Mr. Wells 

Chair Reed convened the meeting at 3:00 p.m. and asked the members of the Affirmative 
Action Departments to introduce themselves. Chair Reed then called on Mr. Diggs from 
UMASS Boston to report on last week's Diversity Teleconference. Mr. Diggs reported on the 
success of the teleconference and the assistance of the Affirmative Action Department staff. 
Ninety people participated including key administrators and senior faculty, in addition, there 
have been suggestions and ideas for follow-up activity. 

Mr. Diggs also informed the Committee that the search for a permanent Director is in the 
final stages and that person is expected to be in place in January. 

Turning to the agenda, Chair Reed asked Mr. George Storms Smith, newly-appointed 
Director of Affirmative Action at UMASS Dartmouth, to update the Committee with the 
progress of the Affirmative Action Plan at UMASS Dartmouth . 

Mr. Smith then distributed an Update of Cultural Diversity/ Affirmative Action, UMASS 
Dartmouth and highlighted the following: his office is now in the process of revising the 
Affirmative Action Plan within the next few months involving faculty and staff. He stressed 
the need to develop strategies which will bring all segments of the University together to talk 
about issues in general and diversity in particular. 

He also pointed out the need to discuss the System and institutional Responses to the Report 
to the American Council on Education (ACE) entitled "Survey On Campus Climate and 
Intergroup Relations,'' by P.W. Banes-McConnell which underscores the report as very critical, 
not just to UMASS Dartmouth but the entire system . There was then discussion about an overall 
unified plan for the entire system although it was pointed out each campus needed to have its 
own recruitment and retention guidelines due to the uniqueness of each campus. 

Mr. Smith then mentioned some of the special initiatives in place such as the Frederick 
Douglas Unity House, a newly renovated area of the University which has been established 
for all students, especially students of color. It also assists all students and staff in developing 



multicultural awareness. There is also the Start Plus Program, the College Now Program and 
the Office of Multicultural Student Services, an office that is working toward the development 
of services designed to assist in the retention of students of color. 

Mr. Smith then turned to the Statistical Profiles of Faculty, Staff and Students. Some of 
the highlights included: in academic year 1993-94, UMASS Dartmouth had 12.7% faculty of 
color and 27.9% women faculty; in academic year 1993-94 the ranks of associate professor 
(15.6%) and assistant professor (29.4%) had a higher than average number of persons of color 
compared to the University as a whole (12.7%;). In academic year 1995-96 there were 11.8% 
faculty of color and 30.7% women faculty. For faculty of color in academic year 1995-96, there 
was a step backward from 12.7% (Academic Year 1993-94) to 11.8%. In Academic Year 1993-94 
UMASS Dartmouth staff overall was 15.6% persons of color and 55.8 women; in academic year 
1995-96 the staff was 14.4% of persons of color and 53.3% women, which shows the staff has 
moved toward fewer persons of color and fewer women. 

There was then discussion about improving recruitment efforts and looking into ways to 
cross-recruit among the campuses. Mr. Smith reported that he was working on creative ways to 
attract and retain quality staff. 

Mr. Smith then pointed out that while the general undergraduate trend is very positive, 
students of color have increased from 7.7% in 1993 to 9.6% in 1995, there is concern for graduate 
students of color where those numbers have increased at a slower rate, from 4.1% to 5.0%. He 
then spoke of his plans for the months ahead which include revamping the current Affirmative 
Action Plan in accordance with Federal and State Affirmative Action Regulations so that it 
reflects the four major components of a valid Affirmative Action Plan listed in the update 
distributed at the beginning of the meeting. It is expected that it will take up to eight months 
to update and devise the plan with input from various constituencies on campus. 

Chair Reed and President Penney thanked Mr. Smith for his thorough analysis of the 
situation and look forward to an update in the next six to eight months. 

The next item was the Criterion Affirmative Action Management System CAAMS Project . 

Mr. Barrett explained that the CAAMS system is a software program which takes data from 
our system and analyzes it in terms of national and local norms. This information enables the 
campuses to measure their affirmative action and equal opportunity efforts and set realistic 
goals of hiring, promotions, etc. The Amherst, Boston and Worcester campuses have had the 
program and are in the process of being upgraded. 

Mr. Wells from the Worcester campus reported that his campus is still in the process of 
coding the positions so that data can be exchanged with Criterion and become more user 
friendly. 

Dr. Tillis from the Amherst campus has completed the coding of positions and is waiting for 
the final training session on the new version. At Boston, Ms. Blair-Farquhar informed the 
Committee that they too are in the process of installing the new system and will need some 
training before attempting to run reports with the new version. 

Ms. Lyman from UMASS Lowell reported that their campus is just about ready finalizing 
the process of coding the positions with Criterion. They will then be ready for the training 
session. 

It was hoped that there would be updates on the system at a meeting in late spring, 
possibly April. 



-2- 



Trustee Rivera then requested the campuses provide information detailing how many in- 
state and out-of-state students of color attend each campus and from which states. President 
Penney suggested this information could be part of the Enrollment report at the December 
meeting of the Committee on Academic and Student Affairs. Trustee Rivera also inquired of 
recruitment efforts at UMASS Worcester. 



The meeting adjourned at 4:16 p.m. 



Barbara DeVico 
Staff Assistant 




-3- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST •BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
INVESTMENT SUBCOMMITTEE 

Tuesday, March 7, 1995; 7:30 a.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Haynes; Trustee Poduska, Assistant Vice President Farrell 

Committee Members Absent : Trustee Karam 

University Administration : President Hooker; Chancellor Cressy; Vice President Lenhardt; General 
Counsel Kirby; Vice Chancellors Dars, Goodwin and Page; Associate Treasurer Marquis (via 
teleconference) 

Chair Haynes convened the meeting at 7:40 a.m. The first item for discussion was the University of 
Massachusetts Treasurer Investments . Associate Treasurer Marquis reviewed the materials that are 
produced by the Treasurer's office and had been sent to the Committee for this meeting. Discussion 
centered on earnings, portfolio compositions, and the current concerns regarding investments in 
derivative products. Chair Haynes asked Mr. Marquis and Vice President Lenhardt to provide the 
Committee with possible Investment Policy revisions which would place limits on exposure to these 
types of investments. Mr. Marquis assured Chair Haynes that the brokers who work witji the University 
are apprised of our position regarding derivatives and indicated that he would work with Vice President 
Lenhardt on drafting a policy for future discussion. 

The next item on the agenda for discussion was the Quasi Endowment/Cash Investment Strategy . 
Mr. Marquis reiterated the five investment disciplines and the firms contracted to manage the equity 
portfolio: Core Equity— Fidelity; International Core Equity~GMO; Mid-Cap Growth— Cadence; Mid-Cap 
Value—Clover; and Emerging Markets— TCW. To date, $1 million has been invested in each discipline 
and over the upcoming five quarters the plan is to have invested an additional $30 million. Chair Haynes 
requested that Mr. Marquis share the entire plan, which includes the above-noted information, with the 
Committee. Mr. Marquis indicated that they will be producing quarterly reports, the first on 3/31/95, 
with a more comprehensive report by June. Mr. Marquis and Vice President Lenhardt further said that 
benchmarks will be developed for comparative analysis, which will be very helpful in coming years as 
the results are seen. With respect to the quasi endowment strategy, they reported there have been no 
negative impacts, problems or issues arising from the recently established quasi-endowment, though end 
of the year current fund-balances (June 95) may be lower. 

The next item on the agenda was the University of Massachusetts Foundation Investment Report . 
Vice President Lenhardt reminded the Committee that this item is not technically within the purview of 
its responsibilities, but the quarterly report is provided for informational purposes. Mr. Marquis noted 
that the negative overall performance was primarily attributable to an historically poor bond market and 
the devaluation of the Mexican peso. Vice President Lenhardt and Mr. Marquis further stated that they 
are not aware of any current plans for changes in the Foundation's investment strategy. 

Further discussion regarding interest rates and the bond market was held. There being no further 
business, the meeting was adjourned at 8:10 a.m. 



Elizabeth H. Tu thill Farrell 



Assistant Vice President, Board Relations 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • B OSTON 'DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
INVESTMENT SUBCOMMITTEE 

Tuesday, July 18, 1995; 8:00 a.m. 

Board Room 

University of Massachusetts President's Office 

Boston, Massachusetts 

Committee and Committee Staff : Chair Haynes; Ms. Farrell, Asst. VP, Board Relations 

Committee Members Absent : Trustees Karam and Poduska 

University Administration : President Penney; Vice President Lenhardt; General Counsel Kirby; Vice 
Chancellors Goodwin and Page; Deputy Chancellor Stanton; UMASS Dartmouth Comptroller Susan 
Sullivan; Associate Treasurer Marquis via telephone 

Chair Haynes convened the meeting at 8:00 a.m. The first item on the agenda for action was the 
Revisions to the Cash Management Policy to be considered for the Board's Consent Agenda. Associate 
Treasurer Marquis identified the specific changes that are being recommended: 1) a modification in the 
TFI distribution formula to take into consideration the equity component of the portfolio; 2) restrictive 
language concerning derivatives; and 3) additions to the Glossary. Discussion was held regarding the 
language used to describe derivatives, and there was also discussion regarding mortgage instruments. 
Chair Haynes suggested that Associate Treasurer Marquis work with General Counsel Kirby to revise the 
language in the policy that defines exotic derivatives so that there is no misinterpretation. 

Based on this expected change, it was then moved, seconded and 

VOTED: To recommend that the Board approve revisions to the Cash Management Policy as listed 
in Doc. T92-031, Appendix F, as amended. 

The next item on the agenda was the Informational Item, Trust Fund Interest Earnings and 
Portfolio Results . Associate Treasurer Marquis and Vice President Lenhardt reviewed the statements, 
and discussed the portfolio composition and campus cash balances pointing out that this information is 
current to May 31, 1995. Since the mail date to the Investment Committee, information has come in which 
reflects a 10% return in the Equity Component of the Operating Cash Portfolio for the first six months 
(through June 30, 1995). 

The Committee then discussed the performance results of the Endowment and Self-Insurance Trust 
Portfolios. As a result of the Boston Company's coming in consistently below the policy index as well as 
being subject to significant employee defections, the University plans to bring on Morgan Grenfell to 
manage the Self-Insurance Trust Funds. Discussion was held regarding the low return in the area of 
international equity holdings. Vice President Lenhardt told the Committee that the administration will be 
increasing the amount of money that is invested in equities to 25% of the portfolio for both the operating 
cash portfolio and the Self Insurance Trust. 

Deputy Chancellor Stanton reported that the Group Practice and the Hospital management are 
pleased with the Self Insurance Trust , and they are pleased with its performance to date. The Committee 
then reviewed the composite report of UMASS Foundation investment activities which reflects the 
University's endowment funds. 



Associate Treasurer Marquis informed the Committee that there would be interviews held this week 
for investment consultants. 

There being no further business, the meeting adjourned at 8:30 a.m. 



Elizabeth H. TutnirTFRrrefl 

Asst. Vice President, Board Relations 



-2- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST^BOSTON •DARTMOUTH •LOWELL^ WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON OF THE WHOLE 

Tuesday, October 10, 1995; 3:00 p.m. 

3rd Floor, VIP Room 

Mullins Center 

University of Massachusetts 

Amherst, Massachusetts 

Committee and Committee Staff: Chair Taylor; Trustees Andriolo, Bogan, Flores, Haynes, Karam, Kraft, 
Lewenberg, Morrissey, Naughton, Okray, Poduska, Reed, Rivera; Vice President and Secretary Boyd; Ms. 
Farrell, Assistant Vice President for Board Relations 

Committee Members Absent : Trustees Bok, Foley, Giblin, Hoff, McNeil, Poduska, O'Leary, Sentance, 
Spence, and Sweeney 

University Administration : President Penney; General Counsel Kirby; Chancellors Cressy, Hogan, 
Lazare, MacCormack and Scott 

Chair Taylor convened the meeting at 3:10 p.m., thanking the members for attending this meeting 
where the President and Chancellors would have the opportunity to present information on some of the 
most important and timely issues at the University. 

President Penney then said that the meeting would be comprised of three parts, Making the Case for 
UMASS: Key Indicators of the Action Plan where the Chancellors would make reports on external 
fundraising, enrollment management, and quality; and Information Technology, where Trustee Poduska 
would update the Board on the projects that the University is working on. 

President Penney then made a presentation: Making the Case for UMASS which will be used in 
many forums to provide information on the University consisting of the University's mission: serving 
students and meeting state needs. President Penney went on to report on areas relating to students: 
enrollments, which have stabilized; tuition and fees have been at or below inflation since 1992; 85% of 
UMASS baccalaureate degree seeking student are Massachusetts residents and over 80% of our graduates 
stay in Massachusetts to live and work. In regard to research, President Penney provided information on 
how UMASS R&D supports the Commonwealth's economic success. The President also reported that 
65% of UMASS Graduate students are from the state, and UMASS is among the top twenty institutions in 
the nation awarding doctoral degrees. President Penney then listed the many awards and prizes won by 
UMASS Faculty members, indicating the high level of quality at UMASS. 

In regard to how UMASS meets state needs, President Penney said that there are many projects and 
collaborations throughout the state where UMASS applies its knowledge to address these needs. The 
President indicated that in the materials distributed there is a chart that shows how UMASS uses the 
entire "Commonwealth as its campus" due to the many locations throughout the state where there is a 
UMASS presence. In terms of state support, President Penney noted how important it is to UMASS 
support, and said that, although funding is almost back to 1988 levels, when adjusted for inflation, the 
appropriation is down 25%. President Penney went on to describe a multiplier effect where, for every 
state dollar, $252 is generated from other sources, and how UMASS is making increasingly effective use 
of state dollars. 



The presentation was followed by questions and some discussion as to additional information that 
will help to make the case for UMASS. President Penney thanked everyone for their input, and asked for 
additional comments at any time in the future and said that they would be refining the presentation. 

Next on the agenda was Chancellor Scott, addressing Key Indicators of the Action Plan . The 
Chancellor identified the recent history of the operating budget, the enrollment, SAT scores, private funds 
and research funding at the campus from when the situation in all areas was stable, then all were 
unstable, and finally recovered. Chancellor Scott then presented projections in all of these areas. The 
Chancellor also identified activity regarding Commonwealth Scholars and ALANA recruitment, and 
reviewed the status of the campus in meeting goals in relation to ALANA students. Some discussion was 
then held regarding this information. 

Chancellor MacCormack then pointed out that the Boston campus produces a report each year on 
diversity with a whole student profile, where students come from and their economic background. 
Overall the Boston campus is doing quite well with external fundraising efforts and enrollments. They 
have also appointed a Vice Provost for Sponsored Projects which will be next to the Development Office. 
She then introduced Mr. Michael Luck, Special Assistant to the Chancellor for Development and 
Advancement. 

Chancellor Cressy reported that the number of research proposals have consistently risen, 
development efforts are already at next year's goal. The Honors Program is improving, enrollment, 95% 
in-state students, tuition relief for Providence students because URI and Rhode Island College give in- 
state tuition to our students, especially the Fall I River students. He also spoke of the 21 K-12 outreach 
programs at the Dartmouth campus. 

Chancellor Hogan reported on grants and contracts; in the past 10 years the Lowell campus has 
increased funded grants and contracts from $6,000,000 to $16,000,000. The target by the year 2000 is to 
reach $25,000,000. He also pointed out that they expect to enroll a new freshman class each year until the 
year 2000 which is equal to 4% of the high school graduates in Massachusetts; The Fall undergraduate 
headcount was 6337 compared to 6335 last Fall and the FTE count was 5750 compared to 5857. 

Chancellor Lazare reported on research productivity and the need to strengthen research 
infrastructure. He also informed the Committee of the events surrounding the 28th anniversary of the 
Medical Center, updated the Committee on enrollment figures and the restructuring at the Medical 
Center. 

Trustee Poduska then reported on Information Technology and stressed the important role 
computers are playing in the way we learn and the how the technology has become an essential 
ingredient for teaching. He pointed out the University's strength in these areas and commended the 
Chancellors for their help with the presentation held earlier today demonstrating the many facets 
information technology is playing in today's world. 

There being no further business, the meeting adjourned at 5:30 p.m. 

Elizabeth H. Tuthill Farrell 

Asst. Vice President, Board Relations 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE OF THE WHOLE 

Tuesday, December 5, 1995; 5:00 p.m. 

Faculty Conference Room 

University of Massachusetts Medical Center 

55 Lake Avenue North 

Worcester, Massachusetts 

Trustees and Trustee Staff : Chair Taylor; Vice Chair Haynes; Vice Chair Karam; Trustees Bogan, 
Foley, Giblin, Kraft, Lewenberg, McNeil, Morrissey, Naughton, Poduska, and Rivera; Vice 
President /Secretary to the Board Boyd; Ms. Farrell, Assistant Vice President for Board Relations 

Trustees Absent : Trustees Andriolo, Bok, Flores, Hoff, O'Leary, Reed, Sentance and Spence 

University Administration : President Penney; General Counsel Kirby; Chancellors Cressy, Hogan, 
MacCormack, Lazare and Scott; Deputy Chancellor Russo 

Chair Taylor convened the meeting at 5:20 p.m. and introduced the single agenda item as being a 
presentation on the Clinical Management System, UMASS Worcester . President Penney reminded 
the Board of activities over the past few years that changed the management of clinical operations 
and led to the creation of an integrated delivery system. Chancellor Lazare then spoke to the changes 
in the health care system that made the establishing of an integrated delivery system imperative for 
the Medical Center to remain competitive. Chancellor Lazare reminded the Board that in September 
1994, the Board voted to establish the Clinical Management Board to replace the Hospital 
Management Board, empowering the CMB to meet and have oversight over clinical operations, 
reporting to the Board of Trustees. The Board had also approved the appointment of Dr. Arthur 
Russo as Deputy Chancellor for Clinical Affairs. 

Dr. Russo then presented the UMASS Clinical Operations, including goals, strategic evolution, 
and strategic elements. He went on to describe managed care scenarios that the system is reviewing, 
and geographic targets that fit into its plan. Dr. Russo further described a reengineering framework 
that is being developed, and the many elements that impact on the direction and plan of the Medical 
Center, including recent affiliations, ambulatory care, changes in health care policy on the national 
level, cost reductions, the rise of private (for-profit) institutions, and the importance of maintaining 
quality care. Dr. Russo also provided an overview of UMASS Health System, Inc., of which the 
University is the sole member, and provided the Board with the annual report of that operation. 

At the conclusion of Dr. Russo's presentation, Chair Taylor thanked Chancellor Lazare and 
Deputy Chancellor Russo for their exemplary leadership and success. Further discussion regarding 
the health care facilities in the greater Worcester area, and issues of the network of affiliations was 
held. Part of this discussion was the increasingly debated issue of covered lives. 

The discussion then turned to the goals of the Ad Hoc University Health Care Committee which 
is exploring the possibility of providing health services to the entire University system, students and 
employees. 

There being no further business to discuss, the meeting was adjourned at 6:20 p.m. 




Elizabeth H. TuthiN Farrell 
Asst. VP for Board Relations 



UNIVERSITY OF MASSACHUSETTS 

AMHERST«BOSTON*DARTMOUTH»LOWELL»WORCESTER 

MINUTES OF THE MEETING OF THE 
NOMINATING COMMITTEE 

Tuesday, October 10, 1995; 11:30 a.m. 

Campus Center Room 174 

University of Massachusetts 

Amherst, Massachusetts 

Committee and Committee Staff : Chair Haynes, Naughton, Reed, and Chair Taylor; Ms. Farrell, 
Assistant Vice President for Board Relations 

University Administration : President Penney; General Counsel Kirby 

The Nominating Committee convened at 11:45 a.m. Chair Haynes reviewed his report with the 
Committee and asked for any suggestions. He pointed out that the Committee had conversations with all 
members of the Board, and their input determined the contents of the report. He went on to point out the 
major features of the report being the establishing of Vice Chairs for each Committee in order to support 
the work of the chair and to provide leadership opportunities to more members of the Board. Chair 
Haynes also recognized that this report presumes changes in the By-Laws, and these changes would 
come formally to the Board at the December, 1995 meeting. 

The Committee discussed the possible addition of a standing committee on Development, and 
decided that, as the President is currently undertaking a study of fund-raising on the campuses and the 
role of the Foundation, this committee may be better positioned to take on work in another six months. 

Trustee Naughton then spoke to the issue of adding a Vice Chairman to the Board of Trustees, noting 
the size of the institution and the size of the Board being so large. He further stated that in the 
conversations held with the Board members, all were supportive of Trustee Haynes taking on this role. 

The Committee then approved the slate of officers to be recommended to and approved by the full 
Board at the October 11 meeting. 

There being no further business, the Committee adjourned at 12:30 p.m. 

Elizabeth H. Tuthill Farrell 

Asst. Vice President, Board Relations 



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